Tag Archives: the villages

George E. Mathis-Raymond James Broker-Discloses Customer Suit-The Villages, FL

June 2018-The Villages, Florida

According to FINRA records, George Edward Mathis, a broker who is employed by Raymond James, discloses a pending customer dispute, 4 prior customer disputes and a termination from employment.

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 a prior matter, FINRA Case 16-0226 a customer of Raymond James alleged that Mathis made unsuitable investments and misrepresented the investments from 9/2013-1/2016. The customer sought damages of $190,000. That case was settled for $70,000.

In currently pending FINRA Case 18-1663, a customer of Raymond James alleges breach of fiduciary duty by Mathis , breach of contract and fraud in the handling of his account from 1/2014-9/2016.. Damages of $65,000 are sought.

Mathis was discharged by Wells Fargo in 11/2011 for supplying inaccurate educational background information while preparing sales literature.

If you have questions about an account handled by George E. Mathis, contact us for a no charge consultation. 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

The Villages Is Subject of Study on Elder Financial Fraud

November 9, 2015- The Villages, Florida

Florida State University College of Criminology and Criminal Justice in partnership with Merrill Lynch & Seniors vs. Crime is conducting research on elder financial abuse and exploitation in the The Villages, Florida.

Two Town Hall Meetings are scheduled to educate seniors on financial fraud. One is at 9:30am November 9th, 2015, at Eisenhower Recreation Center and another is at 9:30am November 10, 2015 at the Savannah Center. Call 352-689-4600 for more information.

FSU will be conducting surveys and interviewing residents to gather information on financial fraud on seniors.

The Villages is an age-restricted retirement community located about 20 miles south of Ocala, Florida and had a population of over 51,000 in the 2010 census.

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