EDWARD EARL MATTHES is currently employed as a Broker and/or Investment Adviser at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located at 128 Silver Lake Plaza, Unit B, OCONOMOWOC, WI, 53066.
EDWARD EARL MATTHES has worked at MUTUAL OF OMAHA INVESTOR SERVICES, INC. since April 11, 2012
Disclosure History
EDWARD EARL MATTHES has 5 Disclosure Event(s).
Date: February 22, 2012 Category: Customer Dispute Allegations: CUSTOMER ALLEGES UNSUITABLE TRANSFER OF FUNDS FROM INCOME AGREEMENT TO VARIABLE ANNUITY Damage Amount Requested: $19,376.38 Settlement Amount: $75,892.11
Date: April 30, 2006 Category: Employment Separation After Allegations Firm Name: MML INVESTORS SERVICES, INC. Termination Type: Voluntary Resignation Allegations: STATE OF MISSOURI HAS ALLEGED THAT REPRESENTATIVE MADE AN UNSUITABLE SALE OF A VARIABLE ANNUITY TO A MISSOURI RESIDENT; THEY ALSO ALLEGED MISREPRESENTATION OF THE VARIABLE ANNUITY TO THE SAME MISSOURI RESIDENT. THE TRANSACTION IN QUESTION OCCURRED AT THE REPRESENTATIVE'S PRIOR BROKER/DEALER AFFILIATION. Broker Comment: AFTER DISCUSSING AN OPPORTUNITY TO RETURN TO A POSITION WITH THRIVENT FINANCIAL FOR LUTHERANS WITH MANAGING PARTNER, TOM KOPATZ, I VOLUNTARILY RESIGNED FROM MASS MUTUAL. MY DECISION TO RESIGN WAS NOT BASED UPON ANY LEGAL ACTIONS OR RESTRICTIONS PLACED UPON ME. MASS MUTUAL DID NOT PERSUADE, ENCOURAGE OR FORCE ME TO RESIGN IN ANY WAY.
Date: March 30, 2006 Category: Regulatory Initiated By: STATE OF MISSOURI, OFFICE OF SECRETARY OF STATE, SECURITIES DIVISION Allegations: ALLEGED UNSUITABLE SALE OF A VARIABLE ANNUITY TO A MISSOURI RESIDENT; ALLEGED INVESTMENT OF 85-90% OF LIQUID NET ASSETS INTO A VARIABLE ANNUITY TO THE SAME MISSOURI RESIDENT. Resolution: Settled SanctionDetails: Sanctions: Monetary Penalty other than Fines SanctionDetails: Amount: $7,308.00
Date: December 16, 2005 Category: Customer Dispute Allegations: CUSTOMER ALLEGES FULL DISCLOSURE WAS NOT MADE BY REGISTERED REPRESENTATIVE. RESEARCH REVEALED NO WRONG-DOING ON REPRESENTATIVES PART. Damage Amount Requested: $6,511.25
Date: June 06, 2005 Category: Customer Dispute Allegations: CUSTOMER ALLEGES PRODUCT WAS MISREPRESENTED Damage Amount Requested: $9,350.00
More Information
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