February 2019 – Baton Rouge, LA
According to publicly available records Justin Brian Mitchell (CRD# 5177794) , a stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial, disclose a a pending FINRA investigation and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In October of 2017, an FINRA began an investigation into Mitchell regarding outside business activity. This investigation is still pending.
Mitchell began working for LPL Financial in 2009 and was discharged in June of 2017. LPL makes the following allegation on Mitchell’s FINRA record: “Violation of Firm policy regarding outside business activities.” .
Mitchell has been employed by Capital FInancial Services since 7/2017, and he discloses a business affiliation with Olinde Financial Group and Massad Olinde Benefits Consulting.
If you have losses in an account handled by Justin Brian Mitchell, contact us for a no charge consultation to learn how you may be entitled to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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