Category: Union Capital Company

Did You Lose Money Because of Ernest Harris?

Filed: March 13, 2024

Ernest Harris currently has two (2) pending customer complaints. Overall, he has been the subject of one (1) regulatory event, one (1) termination event, and seven (7) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Ernest Alexander Harris.

Who Is Ernest Alexander Harris of Union Capital Company?

• Advisor Name: Ernest Alexander Harris
• Aliases: Ernest Harris
• CRD: 714335
• Location: Playa Vista, California and Tucson, Arizona
• Current Employer: Union Capital Company
• Previous Firms: Portsmouth Financial Services and Mandarin Pacific Asset Management, LLC
• Number of Known Customer Complaints: 7
• Number of Known Regulatory Events: 1
• Number of Known Termination Events: 1
• Can Ernest Harris Be Sued: Yes, in Private Arbitration
• Can Ernest Harris’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $300,000
• Highest Settlement: $75,000

If you have suffered investment losses by Ernest Harris, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Ernest Harris For Broker Misconduct

As of this publication date, Ernest Harris has been the subject of 2 customer disputes. Let’s review them below.

In June 2023, a complaint was filed against or in reference to Ernest Harris by a customer of Union Capital Company alleging poor performance/advice. Per the customer, he/she lost over $15,000 because of Mr. Harris’s actions. On August 18, 2023, Mr. Harris settled the claim for $15,000, and some or all of this amount may have been paid by Mr. Harris’s employer and/or insurance carrier.

In May 2023, a FINRA arbitration was filed against or in reference to Ernest Harris by a customer of Union Capital Company alleging suitability. Per the customer, he/she lost over $95,000 because of Mr. Harris’s actions. As of this publication date, this claim remains pending.

In January 2023, a FINRA arbitration was filed against or in reference to Ernest Harris by a customer of Union Capital Company alleging unsuitable products purchased in 2018 and 2020. Per the customer, he/she lost over $300,000 because of Mr. Harris’s actions. As of this publication date, this claim remains pending.

In June 2010, a complaint was filed against or in reference to Ernest Harris by a customer of White Pacific Securities alleging inappropriate purchase annuity in an IRA account. Per the customer, he/she lost over $8,000 because of Mr. Harris’s actions.

In May 2009, a complaint was filed against or in reference to Ernest Harris by a customer of Citigroup Global Markets Inc. alleging misrepresentation with respect to variable annuity investment- 2000 to 2001. On May 13, 2009, Mr. Harris settled the claim for $75,000, and some or all of this amount may have been paid by Mr. Harris’s employer and/or insurance carrier.

In April 2005, NASD initiated a regulatory action against or in reference to Ernest Harris for facilitating the loan of $40,000 between an individual and an outside entity for which he received compensation. The respondent failed to provide prompt written notice of this outside business activity to his employing firm.

In August 2004, a complaint was filed against or in reference to Ernest Harris by a customer of Citigroup GMI alleging outside investment. Per the customer, he/she lost over $40,900 because of Mr. Harris’s actions. On August 26, 2004, Mr. Harris settled the claim for $40,900, and some or all of this amount may have been paid by Mr. Harris’s employer and/or insurance carrier.

In August 2004, Smith Barney terminated Ernest Harris for alleged selling away.

In June 2003, a complaint was filed against or in reference to Ernest Harris by a customer of Citigroup Global Markets Inc. alleging unsuitable and misrepresented mutual fund investment. Per the customer, he/she lost over $33,000 because of Mr. Harris’s actions.

How To File A Claim Against Ernest Harris of Union Capital Company (previously with Portsmouth Financial Services and Mandarin Pacific Asset Management, LLC) To Get Your Money Back

If you have questions about Ernest Harris, Union Capital Company, Portsmouth Financial Services, Mandarin Pacific Asset Management, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Richard Matheis?

Filed: February 19, 2024

Richard Matheis (also known as John Richard Matheis and Ric Matheis) has been the subject of one (1) regulatory event and two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on J. Richard Matheis.

Who Is J. Richard Matheis?

• Advisor Name: J. Richard Matheis
• Aliases: John Richard Matheis, Ric Matheis
• CRD: 869179
• Location: Overland Park, Kansas
• Current Employer: No Longer Allowed to Practice in the Securities Industry
• Previous Firms: Union Capital Company, Berthel, Fisher & Company Financial Services, Inc., and VSR Financial Services, Inc.
• Number of Known Customer Complaints: 2
• Number of Known Regulatory Events: 1
• Can Richard Matheis Be Sued: Yes, in Private Arbitration
• Can Richard Matheis’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $15,000
• Highest Settlement: Unknown

If you have suffered investment losses by Richard Matheis, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Richard Matheis For Broker Misconduct

As of this publication date, Richard Matheis has been the subject of 1 regulatory event and 2 customer disputes. Let’s review them below.

In August 2023, FINRA initiated a regulatory action against or in reference to Richard Matheis for allegedly refusing to appear for on-the-record testimony requested by FINRA as part of its investigation into whether he engaged in any sales practice violations.

In June 2021, a complaint was filed against or in reference to Richard Matheis by a customer of Berthel, Fisher & Company Financial Services, Inc. alleging that the client placed investment on or about 04/23/2015 and complained 06/23/2021. The six-year FINRA eligibility lapsed per FINRA Rule 12206(a). The client complained the Hospitality Investors Trust, Inc REIT was unsuitable. Per the customer, he/she lost over $15,000 because of Mr. Matheis’s actions.

In October 2001, a complaint was filed against or in reference to Richard Matheis by a customer of VSR Financial Services, Inc. alleging that the VUL policy was not suitable. Per the customer, he/she lost over $15,000 because of Mr. Matheis’s actions.

How To File A Claim Against Richard Matheis (previously with Union Capital Company, Berthel, Fisher & Company Financial Services, Inc., and VSR Financial Services, Inc.) To Get Your Money Back

If you have questions about Richard Matheis, Union Capital Company, Berthel, Fisher & Company Financial Services, Inc., VSR Financial Services, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.

Did You Lose Money Because of Dan Dillard?

Filed: October 30, 2023

Dan Dillard (also known as Daniel Dillard) currently has one (1) pending judgment/lien event. Overall, he has been the subject of one (1) regulatory event, one (1) termination event, one (1) judgment/lien event, and two (2) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.

Let’s begin our Patil Law Advisor Alert with a summary report on Daniel G Dillard.

Who Is Daniel G Dillard?

• Advisor Name: Daniel G Dillard
• Aliases: Dan Dillard
• CRD: 4289333
• Location: Austin, Texas
• Current Employer: Currently Not Registered
• Previous Firms: Union Capital Company, Sagepoint Financial, Inc., and LPL Financial LLC
• Number of Known Customer Complaints: 2
• Number of Known Regulatory Events: 1
• Number of Known Termination Events: 1
• Number of Known Judgment/Lien Events: 1
• Can Daniel Dillard Be Sued: Yes, in Private Arbitration
• Can Daniel Dillard’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,500,000
• Highest Settlement: $215,000

If you have suffered investment losses by Daniel Dillard, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.

Customer Complaints Filed Against Dan Dillard For Broker Misconduct

As of this publication date, Daniel Dillard has been the subject of 1 regulatory event, 1 termination event, 1 judgment/lien event and 2 customer disputes. Let’s review them below.

In January 2021, a FINRA arbitration was filed against or in reference to Daniel Dillard by multiple customers of SagePoint Financial, Inc. alleging Mr. Dillard’s recommendations of certain private placement investments were not suitable, and that the Firm did not conduct proper due diligence on certain investments. Per the customers, they lost over $1,500,000 because of Mr. Dillard’s actions. On July 21, 2022, Mr. Dillard settled the claim for $215,000, and some or all of this amount may have been paid by Mr. Dillard’s employer and/or insurance carrier.

In June 2020, a FINRA arbitration was filed against or in reference to Daniel Dillard by a customer of SagePoint Financial, Inc. alleging that Mr. Dillard recommended unsuitable investments, made misrepresentations/omissions, and breached fiduciary duties. On October 19, 2021, Mr. Dillard settled the claim for $85,000, and some or all of this amount may have been paid by Mr. Dillard’s employer and/or insurance carrier.

In December 2018, Daniel Dillard was the subject of a civil judgment or lien in the amount of $59,428.33. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor. As of this publication date, this event remains pending.

In September 2015, FINRA initiated a regulatory action against or in reference to Daniel Dillard. Without admitting or denying the findings, Dillard consented to the sanctions and to the entry of findings that he tracked his progress towards generating $1,500,000 in net commissions, as part of a financial institution services agreement with a third party, using his member firm’s year-to-date commission summaries. The findings stated that once he reached that amount, Dillard took an internal firm form that he submitted previously to his firm and falsified it by altering the commission distribution percentages to reflect 25 percent to the third party and 75 percent to Dillard, reusing the third party President’s prior signature, and then submitting the falsified form to his firm. Dillard changed the commission distribution percentages and reused the third party president’s prior signature without the third party’s knowledge, authorization, or consent. The findings also stated that Dillard’s actions caused his firm to maintain inaccurate books and records.

In April 2013, LPL Financial LLC terminated Daniel Dillard for submitting an altered document regarding the advisor’s commission split with the bank, previously signed by the bank CEO, to the firm.

How To File A Claim Against Dan Dillard (previously with Union Capital Company, Sagepoint Financial, Inc., and LPL Financial LLC) To Get Your Money Back.

If you have questions about Daniel Dillard, Union Capital Company, Sagepoint Financial, Inc., LPL Financial LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.