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.
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