Mitchell Dean Simkins of Salt Lake City Utah is a stockbroker currently registered with Mid Atlantic Capital Corporation who is the subject of a customer initiated investment related civil action which settled for $370,000.00 in damages based upon accusations including (1) the offer and sale of unregistered securities through an entity which was not registered (2) misrepresentation and (3) securities fraud concerning the customer’s note participation agreement. Civil Action No. 2:16cv00903 (June 27, 2017).
Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that a customer initiated investment related arbitration claim involving Simkins’ conduct was settled to resolve allegations of securities fraud, breach of fiduciary duty, and misrepresentation concerning note participation agreements that were executed away from Mid Atlantic Capital Corporation. FINRA Arbitration No. 16-02577 (June 27, 2017).
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
