Tag Archives: Andre Mitchell

MetLife Broker Barred for Stealing Customer Funds

September 30, 2015  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft   |   0 Comments
MetLife Broker Barred for Stealing Customer Funds

Andre Mitchell, a registered representative with MetLife, was permanently barred from associating with any FINRA member firm in any capacity after Financial Industry Regulatory Authority’s Office of Hearing Officers found Mitchell to have converted customer funds in addition to failing to cooperate in a FINRA’s investigation. Department of Enforcement v. Mitchell, No. 2013035618602 (Sept. 28, […]

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MetLife Securities Broker Accused of Stealing

September 16, 2015  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft   |   0 Comments
MetLife Securities Broker Accused of Stealing

Andre Mitchell, a registered rep from MetLife Securities, Inc., was charged by the Financial Industry Regulatory Authority in a Complaint alleging that Mitchell misappropriated monies provided to him by an insurance customer. Department of Enforcement v. Andre Mitchell, No. 2013035618602 (Apr. 20, 2015). According to the Complaint, Mitchell was being investigated by FINRA after his […]

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