Ft. Lauderdale-based Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website listed under “Disciplinary and Other FINRA Actions, May, 2014.”
Mitchell Garrett (CRD #4829212, Fort Lauderdale, Florida)
received a deferred fine of $10,000, was suspended by FINRA for 30 business days, and required to cooperate with FINRA's investigation alleging that Garrett paid approximately $145,142 in commissions that he had received from his firm to an unregistered day-trading firm. According to FINRA's report, this day-trading firm then distributed the money to its owners, none of whom were registered with a FINRA firm.
FINRA's findings stated that Mitchell Garrett was not an owner of the day-trading firm. It was reported that a portion of the commission that Garrett had paid, allegedly was used for rent of the day-trading firm's equipment and office space. None of the commission was kept by Garrett.
The suspension was in effect from March 17, 2014, through April 28, 2014.
(FINRA Case #2010023935003)
Mitchell Garrett was previously registered with the following FINRA firm(s):
LIGHTSPEED TRADING, LLC (CRD# 35519) - NEW YORK, NY
07/2010 - 06/2012
ASSENT LLC (CRD# 104162) - FORT LAUDERDALE, FL
06/2008 - 07/2010
BARCLAYS CAPITAL INC. (CRD# 19714) - NEW YORK, NY
05/2006 - 08/2007
CITIGROUP GLOBAL MARKETS INC. (CRD# 7059) - NEW YORK, NY
09/2004 - 05/2006
This ends the summation of information from FINRA's website.
Call the Ft. Lauderdale-based Soreide Law Group for a free consultation on how to recover your investment losses: 888-760-6552.
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