Corrie Ann Mitchell (also known as Corrie Ann Box) of San Antonio, Texas, a stockbroker formerly registered with Cambridge Investment Research, has been barred from associating with any FINRA member in any capacity based upon allegations that Mitchell failed to cooperate in a FINRA investigation. Letter of Acceptance Waiver and Consent No. 2022075235602 (Aug. 17, 2022).
According to the AWC, on February 16, 2022, Cambridge Investment Research filed a Uniform Termination Notice (Form U5) indicating that it had terminated Mitchell’s registration. On July 8, 2022, FINRA sent Mitchell a request for the production of documents and information relating to an investigation concerning her outside business activities. Mitchell did not respond to FINRA’s request. On August 1, 2022, Mitchell informed FINRA that she would not respond to the request for information and documents. FINRA states that Mitchell violated Rules 2010 and 8210.
From 2020 to 2022, Mitchell was associated with Cambridge Investment Research. In 2020, Mitchell was associated with Royal Alliance Associates Inc.
