Complaints Against Stephen Mattocks of SagePoint Financial for REIT Sales

Israels & Neuman, PLC — Mon, 28 Jul 2025 19:22:56 GMT

FINRA has revealed that financial advisor Stephen Mattocks of SagePoint Financial in Wichita, Kansas, has been the subject of a customer complaint which was made in June 2025. The complaint was regarding an allegedly unsuitable REIT that was recommended in 2019. REITs are “real estate investment trusts”, which pool investor money into acquiring various real estate properties. Another customer allegedly complained about a REIT investment in 2024 to Mattocks’ former brokerage firm, SagePoint Financial, but SagePoint denied the complaint. If you lost money with this advisor, you may have recovery options.

About Stephen Mattocks

Stephen Mattocks was licensed with SagePoint Financial from 2005 to September 2023. Since then, Mattocks has been affiliated with Osaic Wealth. He works in a Wichita, Kansas office and was also the subject of two other customer complaints, in 2004 and 2005 respectively, both of which were denied.

Potential Liability of SagePoint Financial for Customer Losses

Securities like REITs that are recommended by financial advisors are subject to suitability standards. The investment must be suitable for the investor, considering their age, risk tolerance, investment objectives, financial resources, and other factors. The firm can be responsible for investor losses if the investment was unsuitable for that particular investor.

How We Can Help You Recover Money

Our firm has recovered millions of dollars for wronged investors across the country. We have brought FINRA Arbitration claims against a wide range of brokerage firms.

We offer free case evaluations, and if we take your case, we do so on a contingency fee basis—which means there are no attorney fees unless we recover money for you.

See Stephen Mattocks BrokerCheck Report here

Contact Us for a Free Consultation

If you lost money investing with Stephen Mattocks or SagePoint Financial, you may be entitled to compensation.

Call us at (206) 795-5798 or (720) 599-3505
Visit our website to learn more and schedule your free consultation

RICHARD MATHEIS of Union Capital is BARRED

Israels & Neuman, PLC — Fri, 25 Aug 2023 15:14:47 GMT

Richard Matheis, Formerly with Union Capital Company, Barred from Securities Industry

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.

Kansas - Israels & Neuman, PLC