Current Investigations

George Mathis Discharged From Wells Fargo Advisors

By June 21, 2018 No Comments

George Mathis has worked in the securities industry for seventeen years for three different securities firms. From 2000 to 2008 he worked for A.G. Edwards and Sons. From 2008 to 2011 he worked for Wells Fargo Advisors. For the last seven years he has worked for Raymond James & Associates.

George Mathis’ FINRA BrokerCheck report shows that he has been the subject of multiple customer disputes. In 2016 a customer accused Mathis of unsuitability, misrepresentation, omission, breach of fiduciary duty, violating NASD Conducts Rule 301(A), Conduct Rule 2010, FINRA Conduct Rule 2010, and FINRA Rule 2111, negligence, and breach of contract. This case was settled for $70,000.

He also has one pending complaint that was brought forward in 2018. The customer alleged breach of contract, fraud, breach of fiduciary duty, negligence, violation of FINRA rules, and misrepresentation. The customer is seeking $65,000 in damages.

In 2011 George Mathis was discharge from Wells Fargo Advisors for supplying inaccurate educational information meant for sales literature.

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 dedicates its entire legal practice to representing investors across the nation.

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