ELLIOTT HOWARD MITTLER is currently employed as a Broker and/or Investment Adviser at CANTELLA & CO., INC. located at 11 Erli Street, Wayne, NJ, 07470.
ELLIOTT HOWARD MITTLER has worked at CANTELLA & CO., INC. since July 28, 2017
Disclosure History
ELLIOTT HOWARD MITTLER has 1 Disclosure Event(s).
Date: July 27, 2009 Category: Customer Dispute Allegations: COMPLAINT RECEIVED FROM ATTORNEY STATES THAT [CUSTOMER'S] RETIREMENT ACCOUNT WAS NOT DIVERSIFIED DUE TO THE FACT THAT 80% OF EQUITY INVESTMENT WAS IN REAL ESTATE AND MORTGAGE COMPANIES AND THAT 75% OF THE FIXED INCOME POSITIONS WAS INVESTED IN MORTGAGE-BACKED SECURITIES. THEY ATTRIBUTE THE LOSSES TO THE SUB PRIME MORTGAGE CRISIS AND THE ACCOUNTS CONCENTRATION IN POSITIONS MOST AFFECTED BY THIS DOWNTURN. THEY ALSO CLAIM THAT THE TRADING FROM MARCH 2006 THROUGH 2008 WAS INAPPROPRIATE AND UNSUITABLE AS THE BROKER ENGAGED IN A PATTERN OF EXCESSIVE TRADING. OUR REVIEW OF THE PERIOD INDICATED SHOWS A SHORT TERM LOSS OF ROUGHLY $29,000 AND AN ESTIMATED LONG TERN GAIN OF $27,000, THE CLIENT IS LOOKING TO RECOVER LOSSES IN THE AMOUNT OF $80,000. Damage Amount Requested: $80,000.00
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.
To view the full report for ELLIOTT HOWARD MITTLER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.