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Scott J. Mason

Date:

April 1, 2025

Type of alert:

FINRA Barred  

The Securities and Exchange Commission (SEC) has barred Scott J. Mason, former owner of Rubicon Wealth Management, LLC, from the securities industry following a decade-long scheme in which he misappropriated client funds for personal use and provided false and misleading statements to investors.

A federal court judgment, entered on March 3, 2025, permanently enjoined Mason from violating securities laws, including Section 10(b) of the Securities Exchange Act of 1934 and Sections 206(1) and 206(2) of the Investment Advisers Act. The SEC’s complaint alleged that between 2014 and 2024, Mason misused investor funds and engaged in deceptive practices while operating Rubicon Wealth Management.

As a result, the SEC has barred Mason from associating with any broker, dealer, or investment adviser. Investors who suffered losses due to Mason’s misconduct may have legal options to recover their funds.

If you were a client of Rubicon Wealth Management and believe you were affected, contact ChapmanAlbin for a free consultation to discuss your potential recovery options.

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