OVERLAND PARK, KANSAS

Have you invested with stockbroker Richard Matheis in Overland Park, Kansas? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against Richard Matheis. FINRA’s Disciplinary Database disclosed that he was barred from the securities industry by FINRA in August 2023. View his BrokerCheck Report Here. View the FINRA AWC Here.

Mr. Matheis was expelled from the securities brokerage industry because he failed to respond to an investigation initiated by FINRA. In particular, FINRA was trying to review whether he engaged in any sales practice violations.

J. Richard Matheis was an advisor with Union Capital Company from July 2018 to October 2021. He was also previously with Berthel Fisher & Company, and he worked in a branch office in Overland Park, Kansas. There are two customer complaints on his record, including a complaint about investing in a REIT (real estate investment trust) in 2015.

Israels & Neuman is a securities arbitration law firm that represents clients all over the country. Our law firm that has recovered millions of dollars for investors in the past, including numerous investors in Kansas.

If you lost money with Richard Matheis, or Union Capital Company, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

GRAHAM, NORTH CAROLINA Our securities arbitration law firm is looking into allegations made by customers of financial advisor Jason Cook, with Berthel Fisher & Company. Jason Cook, who worked in an office in Graham, North Carolina, has been the subject of three customer complaints, all of which were made since December 2021. The most recent complaint alleges that Cook sold unsuitable investments in oil and gas, as well as real estate. The complaint did not specify how much money was lost in the real estate and oil and gas investments. The two other complaints also dealt with real estate investments.

Jason Cook had been licensed with Berthel Fisher & Company since January 2006. He works in Graham, North Carolina.

Berthel Fisher & Company is a FINRA member firm and must follow FINRA rules, including FINRA Rule 2111 which requires suitable investment recommendations. They also must reasonably supervise their representatives pursuant to FINRA Rule 3110.

Israels & Neuman is a securities arbitration and investment fraud law firm that represents investors all over the country, including investors throughout North Carolina. We have represented over one thousand investors in FINRA arbitration claims, including claims against Berthel Fisher & Company.

View Cook, j BrokerCheck 7.6.23

If you lost money with Jason Cook, Berthel Fisher & Company, or real estate investments, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.