WILLIAM FRANCIS MITCHELL

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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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.

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