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Frank Mathis- Former Fidelity Brokerage Services Broker-Barred From Securities Industry by Regulators – Westlake, TX

Frank Mathis- Former Fidelity Brokerage Services Broker-Barred From Securities Industry by Regulators – Westlake, TX

Frank Mathis- Former Fidelity Brokerage Services Broker-Barred From Securities Industry by Regulators – Westlake, TX 150 150 ER

Frank Mathis Investigation

June 2022-Westlake , TX 

According to publicly available records Frank Mathis, a former broker who last worked for  Fidelity Brokerage Services,  discloses a final regulatory matter resulting in a permanent bar from the industry and his termination.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 12/2021 FINRA permanently barred Mathis from the industry to resolve allegations that Mathis failed to respond to FINRA requests for information in regards to a regulatory investigation.

Mathis was discharged from his employment with Fidelity Brokerage Services in 2/2021,  in response to allegations that he posted unapproved communications about the firm in a public online “chat” forum.

Frank Mathis was with Fidelity Brokerage Services from 1/2021 to 3/2021. Prior to that he was registered with TD Ameritrade, Inc., J.P. Morgan Securities and Chase Investment Services Corp.  

If you have suffered losses in an account handled by Frank Mathis, contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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