Thomas Patrick Barton, of Pittsburgh, Pennsylvania, a stockbroker formerly registered with Mutual of Omaha Investor Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings of forgery and unauthorized transactions when Barton was registered with Mutual of Omaha Investor Services. Letter of Acceptance, Waiver,…
Edward Earl Matthes of Milwaukee Wisconsin a stockbroker formerly registered with Mutual of Omaha Investor Services has received a 63-month jail sentence based on him pleading guilty to violating federal securities laws as 27 victims had been defrauded in his $2,600,000.00 investment scheme. United States v. Edward E. Matthes 20-cr-0220-bhl (E.D. Wis. May 20, 2021)….
Edward Earl Matthes (also known as Ed Matthes) of Oconomowoc Wisconsin a stockbroker associated with Mutual of Omaha Investor Services Inc. has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment advisor or otherwise associating with securities broker dealers or investment advisories according to an Order based on allegations of…
Ramon Esparza of Edinburg Texas a stockbroker employed by Mutual of Omaha Investor Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA personnel during the period in which he was investigated for engaging in…
Ramon Esparza of Edinburg Texas a stockbroker employed by Mutual of Omaha Investor Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA personnel during the period in which he was investigated for partaking in…
Edward Earl Matthes (also known as Ed Matthes) of Oconomowoc Wisconsin a stockbroker formerly registered with Mutual of Omaha Investor Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with FINRA in an investigation into accusations…
Price A. Breville of Staten Island New York a stockbroker formerly registered with Mutual of Omaha Investor Services Inc. has been discharged on December 5, 2018 founded on allegations that Breville engaged in impermissible business activities concerning a customer’s purchase or sale of an insurance product. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that…
Monica Jean O’Neill (also known as Monica Jean Beauchene) a former Mutual of Omaha Investor Services Inc. registered representative has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that O’Neill failed to provide FINRA with information that was formally requested of her. Case No. 2017054075601…