Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Matthew Bradley Mitchell (also known as Matthew Mitchell) [CRD: 4854608, Tulsa, Oklahoma]. Mitchell previously worked for BOK Financial Securities Inc. from August 2008 to January 2023 before joining Aegis Capital Corp. in January 2023. Recent disclosures raise concerns about Mitchell’s professional conduct, including allegations of unauthorized trading and inaccurate investment objectives.
On January 18, 2024, a client of BOK Financial Securities Inc. alleged that Matthew Mitchell engaged in unauthorized trading and misrepresented the investment objective and risk tolerance for their account. The allegations cover the period from January 2012 through May 2023, with the client seeking damages exceeding $30,000. However, on February 1, 2024, the firm denied the claim, concluding that no compensation was warranted.
On December 8, 2022, BOK Financial Securities Inc. discharged Mitchell due to alleged failure to contact a client before executing two transactions in their account. These transactions occurred on September 29, 2022, and September 30, 2022, involving mutual funds and unit investment trusts. The firm cited these actions as the reason for his termination.
If you have concerns regarding Matthew Mitchell’s investment practices, contact Soreide Law Group online or call (888) 760-6552 to speak with a securities attorney. Soreide Law Group works on a contingency basis, advances all costs, and helps clients throughout the United States with recovering losses from sales practice misconduct. Mitchell and the firms he worked for deny accusations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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