Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that Florida-based Raymond James & Associates broker/adviser George Mathis has been involved in several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mathis (CRD# 4271854).
George Mathis has spent 17 years in the securities industry and has been registered with Raymond James & Associates in The Villages, Florida since 2011. Previous registrations include Wells Fargo Advisors in The Villages, Florida (2008-2011) and AG Edwards & Sons in The Villages, Florida (2000-2008). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 6, 2000, and Series 7 (General Securities Representative Examination), which he obtained on November 8, 2000. He is a registered broker and investment adviser with 26 US states and territories.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint, and he was discharged from one of his former employers in connection to alleged rule violations.
In April 2018 a customer alleged George Mathis, while employed at Raymond James & Associates, breached his fiduciary duty, breached contract, acted negligently, committed fraud, misrepresented material facts, and violated FINRA conduct rules. The customer is seeking $65,000 in damages in the pending complaint.
In 2016 a customer alleged George Mathis, while employed at Raymond James & Associates, recommended unsuitable investments, misrepresented material facts, omitted material facts, violated NASD and FINRA rules, acted negligently, and breached contract. The complaint settled in 2017 for $70,000.
In 2015 a customer alleged George Mathis, while employed at Raymond James & Associates, misrepresented material facts related to an investment. The customer sought more than $17,900 in damages in the complaint, which was closed with no action taken.
In 2011 he was discharged from his position at Wells Fargo Clearing Services following allegations he “supplied inaccurate educational background information” in connection to the preparation of sales literature.
If you or someone you know has complaints regarding George Mathis, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.