DID MITCHELL DARRIN DALEY CAUSE YOU INVESTMENT LOSSES?
About Mitchell Daley of Cetera Investment Services LLC?
Mitchell Daley (CRD #2733915) currently holds registrations with Cetera Investment Advisers LLC and is employed as an investment broker with Cetera Investment Services LLC in Hattiesburg, Mississippi, having joined these firms on August 10, 2022. Daley’s career in the securities industry spans over two decades, beginning in November 1997 with MetLife Securities Inc. Throughout his career, Daley has been registered with multiple firms across various U.S. states, reflecting a diverse and extensive experience within the sector. He is registered with 1 Self-Regulatory Organization and licensed in 10 U.S. states and territories. His exam qualifications include passing 3 General Industry/Product Exams and 2 Multi-State Securities Law Exams, underscoring his broad knowledge base in securities and state law regulations. His prior employment includes significant tenures at Hancock Whitney Investment Services Inc. from June 2003 to August 2022 and MetLife Securities Inc. from November 1997 to June 2003.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Mitchell Daley Customer Complaints and Reviews
Mitchell Daley has a relatively clean regulatory history with one customer dispute reported:
- Customer Dispute (July 2020, Complaint Received May 2024): A client invested $50,000 into a fixed single premium immediate annuity and later alleged sales misrepresentation by Daley. The client claimed she was misled regarding the utilization of her funds, specifically that the annuity would not earn interest and she could not withdraw from it. The complaint was denied after being reviewed by The Mississippi Department of Insurance and The Department of Banking and Consumer Finance. Daley maintains that the annuity was chosen after thorough discussions and aligned with the client’s goal of guaranteed lifetime income.
Allegations Against Mitchell Daley
- Sales Misrepresentation Allegation (July 2020, Complaint Received May 2024): The only formal allegation against Mitchell Daley involves a claim of misleading a client about the terms and benefits of an annuity product. The client alleged that the annuity would not accrue interest and was non-terminable, contrary to her expectations. The complaint was formally denied, indicating no further action required, suggesting that the regulatory bodies found no substantial evidence of wrongdoing after their investigation.
Mitchell Daley Red Flags & Your Rights As An Investor
Of course, Mitchell Daley did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mitchell Daley at Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Mitchell Daley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Cetera Investment Services LLC Due To Mitchell Daley
If you have questions about Cetera Investment Services LLC and/or Mitchell Daley and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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