Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mitchell (Mitchell), currently associated with Bok Financial Securities, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mitchell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on September 04, 2024.
Complainant indicates displeasure with product liquidity, and alleges they were not informed regarding the risks of investing in the products during sales process on or around June 2016 through March 2017.
