TORIAN D MITCHELL (TERRY MITCHELL, TORIAN DEVON MITCHELL, TORIAN MITCHELL), according to FINRA’s BrokerCheck, available to the public on FINRA’s website, was previously registered both as an investment advisor and as a broker.According to FINRA, TORIAN D MITCHELL was in the securities industry for 5 years and was listed with 4 firms. The most recent firm he was listed with was PRUCO SECURITIES, LLC of New York, New York from 10/15/2018 - 02/04/2021. Before Pruco, TORIAN D MITCHELL was listed with AXA ADVISORS LLC of Astoria, New York from 08/19/2016 - 10/24/2018.
According to FINRA’s BrokerCheck, TORIAN D MITCHELL has 2 disclosures listed on his FINRA CRD report, both are pending “Customer Disputes” and they are both dated 9/30/2024. One of the disputes listed against TORIAN D MITCHELL alleges, “Claimant alleges RR (registered representative) Mitchell misappropriated funds in connection with investments made in 2017.” The damage amount requested is $100,000.00.
The other “Customer Dispute” listed on TORIAN D MITCHELL’s FINRA CRD report alleges, “Customer Alleges fraud, breach of fiduciary duty.” The damage amount requested is $100,000.00.
The SEC's Regulation Best Interest (Reg BI) under the Securities and Exchange Act of 1934 establishes a "best interest" standard of conduct for broker/dealers and associated persons when they make a recommendation to a retail customer of any securities transaction or investment strategy involving securities, including recommendations of types of accounts. FINRA Rule 2150 states that no member or person associated with a member shall make improper use of a customer's securities or funds.
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