WILLIAM FRANCIS MITCHELL is currently employed as a Broker and/or Investment Adviser at TRANSAMERICA FINANCIAL ADVISORS, INC located at 11421 CHESTER ROAD, SUITE B, CINCINNATI, OH, 45246.
WILLIAM FRANCIS MITCHELL has worked at TRANSAMERICA FINANCIAL ADVISORS, INC since January 06, 2012
Disclosure History
WILLIAM FRANCIS MITCHELL has 2 Disclosure Event(s).
Date: March 29, 2006 Category: Customer Dispute Allegations: CLIENT UPSET THAT HE LOST DEATH BENEFIT DUE TO REPLACEMENT OF WRL CONTRACT WITH A CONTRACT FROM ANOTHER COMPANY. CLIENT ALLEGES THAT REPRESENTATIVE DID NOT EXPLAIN TO HIM THAT HE WOULD LOSE THE DEATH BENEFIT. Damage Amount Requested: $137,309.60 Broker Comment: COMPLAINT DENIED BY PRODUCT PROVIDER.
Date: November 24, 2001 Category: Criminal Charges: 1) 1 COUNT THEFT; 2) MISDEMEANOR; 3) NOLO-CONTENDRE; 4) N/A Charge Type: MISDEMEANOR Disposition: A) PLEAD NO CONTEST - GUILTY (CONVICTED); B)1/24/02; C) NO SENTENCE; D)ABSOLUTELY NO OTHER PENALTIES; E)N/A; F) $100.00; G) PAID 1/24/02 Broker Comment: INADVERTENTLY LEFT A STORE WITHOUT PAYING FOR AN ITEM ON 11/24/2001. THE STORE HAD AN "ALL VIOLATORS WILL BE PROSECUTED." REGARDLESS OF CIRCUMSTANCES. THE COURT DID SEE IT BOTH WAYS SO I PLED NO CONSTEST AND WAS ONLY FINED $100.
More Information
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