MAURA E. MITCHELL

12/24/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MAURA E. MITCHELL (CRD No. 4736301), Respondent. DISCIPLINARY PROCEEDING No. 2605003584601 COMPLAINT The Department of Enforcement alleges: SUMMARY I. In October 2005, without the customers' knowledge or consent, Respondent Maura E. Mitchell engaged in unauthorized transactions within the sub-accounts of variable annuity policies of 40 customers, as set forth in Exhibit A, attached hereto and

04/03/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MAURA E. MITCHELL (CRD No. 4736301), Respondent. Disciplinary Proceeding No. 2005003584601 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 3, 2008 Respondent is barred from associating with any FINRA member firm in any capacity for effecting unauthorized transactions, in violation of NASD Conduct Rule 2110, and for providing false information and testimony, in violation of NASD Procedural

Reference 2005003584601data-portal.finra.orgdata-portal.finra.orgfinra.org