ROBERT DOUGLAS MITCHELL

ROBERT DOUGLAS MITCHELL is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 34 FOX HOLLOW DRIVE, ST. CHARLES, MO, 63304.

ROBERT DOUGLAS MITCHELL has worked at LPL FINANCIAL LLC since January 18, 2008

Disclosure History

ROBERT DOUGLAS MITCHELL has 1 Disclosure Event(s).

Date: May 12, 2017
Category: Customer Dispute
Allegations: Claimants allege that beginning in June 2008 advisor made investments in risky securities inconsistent with their investment objectives, and also failed to disclose fees and conflicts of interest on alternative investments.
Damage Amount Requested: $300,000.00
Settlement Amount: $82,500.00 17-01184

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 ROBERT DOUGLAS MITCHELL, click here.

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