Previously registered broker Dustin Mikkelsen (also known as Dustin Anthony Mikkelsen) is facing allegations of unsuitably and unauthorized withdrawal according to a customer dispute disclosure reported on his FINRA Brokercheck page, under review by attorney Alan Rosca.
The investor rights attorneys Alan Rosca and his colleagues atRosca Scarlato law firm are investigating the alleged misconduct involving Mikkelsen. Investors who are concerned about their investments with Mikkelsen may contact investor rights attorney Alan Rosca or his colleagues for a free consultation and discussion of potential options, or to provide any useful information, toll free at 888-998-0530, send an email at arosca@rscounsel.law, or leave a message through the contact form on this webpage.
Concerned about investments with
FINRA Arbitration Involving Broker Dustin Mikkelsen
The customer dispute reportedly initiated in February 2021 and filed with FINRA, is alleging implementation of unsuitable investment strategy and unauthorized withdrawals from the customer’s account, while Dustin Anthony Mikkelsen was registered with Equity Services Inc. As of the date of this article, the customer is requesting $384,100 for the alleged damages.
Dustin Anthony Mikkelsen Was Registered with FINRA for 16 Years
According to Mikkelsen’s FINRA Brokercheck page, he was registered with FINRA since 1997 and switched employers five times. He was previously registered with Equity Services in Houston, Texas from July 2015 until March 2019. From June 2007 until April 2010, he was registered with J.W. Cole Financial located in Lawrenceville, Georgia.
Dustin Mikkelsen allegedly voluntarily resigned from NFP Securities in June 2007 in connection to his alleged review of sales practices regarding annuities. Mikkelsen was registered with the firm from September 2002 until July 2007.
Additionally, in July 1999, Dustin Anthony Mikkelsen was allegedly discharged from A.G. Edwards & Sons on allegations of failure to follow firm procedures and industry rules.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.
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Potential Options for Dustin Mikkelsen Investors
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Dustin Anthony Mikkelsen on allegations of unsuitable investment strategy and unauthorized withdrawals from a customer’s account.
The firm takes most cases of this type on a contingency fee basis and advances the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who are concerned they may have lost money related to Dustin Mikkelsen’s alleged misconduct may contact attorney Alan Rosca or his colleagues for a free, no-obligation consultation. Interested investors may call 888-998-0530, send an email to arosca@rscounsel.law, or leave a message through the contact form on this webpage.