Coastal Equities FINRA Arbitration Leads to Award for Advisor

Coastal Equities FINRA Arbitration Leads to Award for Advisor

Coastal Equities and its former broker Francis G. Mitchell have reached a deal in a FINRA arbitration case in which both the broker and the broker-dealer claimed breach of contract.

The case involved claims by both parties over of the terms of Mitchell’s employment contract and a dispute over the terms on which Mitchell left Coastal Equities.

The arbitration resulted in an award of $784,800 for the broker and $517,575 for the firm, resulting in a net of $267,225 for Mitchell.

Mitchell was employed by Coastal Equities from 2014 to 2015 and is now affiliated with Loewen Ondaatje McCutcheon USA. He began his career in the securities industry in 1984.  

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