Mitchell Brian Walk (CRD #3195375) is a currently registered broker and investment advisor. He has been employed by Kestra Investment Services, LLC (CRD #42046) of Longwood, FL since 2001. He was previously employed by Securities America, Inc. (CRD #10205) of Lavista, NE. He has been in the industry since 2000.
Walk has five disclosures, all customer disputes in different stages. The most recent was filed on 08/14/2017, alleging that Walk made unsuitable recommendations to the client, and that Kestra Investment Services didn’t properly supervise those recommendations. The client is requesting damages of $72,000. The case is currently pending.
His next disclosure is also a pending customer dispute, filed on 10/4/2016. Walk is accused of misrepresentations in his recommendations (as well as other actions) in the sale of numerous alternative investment vehicles in August of 2014. This customer is requesting damages of $350,000.
A previous dispute filed on 07/31/2013 regarding Walk requesting $50,000 in damages was denied. In it, the client alleged unsuitability and other causes of action related to the sale of a Mezzanine Financing investment in 2008.
In a dispute filed on 06/05/2013, a customer alleged unsuitability on Walk’s part related to the sale of alternative investments in 2007. This case was settled for $77,500.
His first disclosure is a dispute filed on 05/04/2011 by a client who was unhappy with investments Walk recommended. This case was closed without any action, and no other information is available.
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