The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker George Mathis. According to his publicly available FINRA BrokerCheck report, George Mathis has been the subject of multiple customer disputes.
George Mathis is a Florida based securities broker. He has worked in the securities industry for seventeen years. During his career, he has been registered with three different securities firms.
His Registrations
- A.G. Edwards & Sons (2000-2008)
- Wells Fargo (2008-2011)
- Raymond James (2011-Present)
The Allegations
- In August 2016, a customer accused George Mathis of unsuitability, misrepresentation, omission, breach of fiduciary duty, violating NASD rules, negligence, and breach of contract. This case was settled for $70,000.
- In May 2018, an attorney, on behalf of an investor, alleged that George Mathis made unsuitable investment recommendations. This case was settled for $14,900 in damages.
Oakes & Fosher Can Help
Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages. Oakes & Fosher dedicates its entire legal practice to representing investors across the nation. If you, or anyone you know, have lost money investing with George Mathis, please contact Oakes & Fosher for a free, and private consultation. Oakes & Fosher handles cases on a contingency basis, which means there are no fees charged unless we collect for you.
