CHARLES WILLIAM MITCHELL

CHARLES WILLIAM MITCHELL is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 55 CASCADE LANE, REHOBOTH BEACH, DE, 19971.

CHARLES WILLIAM MITCHELL has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

CHARLES WILLIAM MITCHELL has 1 Disclosure Event(s).

Date: October 09, 2008
Category: Customer Dispute
Allegations: CLIENT ALLEGES MR. MITCHELL FAILED TO PLACE STOP-LOSS ORDERS IN JANUARY 2008.
Damage Amount Requested: $33,000.00
Settlement Amount: $14,000.00

Errors or Outdated Information?

More Information

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.

OTHER BROKERS IN DE WITH DISCLOSURE EVENTS

To view the full report for CHARLES WILLIAM MITCHELL, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.

BrokerSearch Removal