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
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
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for EDWARD EARL MATTHES, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More