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.