ANDRE MITCHELL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. André Mitchell (CRD No. 2145891), Respondent. DISCIPLINARY PROCEEDING No. 2013035618602 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. André Mitchell ("Mitchell" or "'Respondent"), a former registered representative at MetLife Securities, Inc. ("MetLife" or the "Firm") a FINRA regulated broker-dealer, converted $658 in funds given to him by MM, an insurance
09/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDRE MITCHELL (CRD No. 2145891), Respondent. Disciplinary Proceeding No. 2013035618602 Hearing Officer-AHP DEFAULT DECISION September 28, 2015 Respondent converted customer funds and failed to provide requested testimony, documents, and information in response to Rule 8210 requests. Respondent is barred for each violation. Appearances Eric Hansen, Esq., New York, New York,
Reference 2013035618602data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2145891

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