Advisor Alert: Our Attorneys Are Investigating J. Richard Matheis For Investment Fraud
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.