Corrie Mitchell Investigation
February 2023 – San Antonio, TX
According to publicly attained records, Corrie Mitchell, a stockbroker who was last employed by Cambridge Investment Research, Inc, discloses that she was permanently barred from FINRA in all capacities.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In August 2022, Mitchell was permanently barred from FINRA in all capacities after she refused to provide information and documents requested by FINRA in connection with its investigation about her outside business activities.
If you have losses in an investment account handled by Corrie Mitchell, contact us for a no charge consultation with an experienced securities attorney to learn about your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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