Allegations include breach of contract, breach of duty, negligence, misrepresentation and omission, and violations of various FINRA rules and Federal and State laws. The plaintiffs had maintained independently managed accounts with Mutual Securities, Inc.

$500,000.00

$512,587.63

Plaintiffs' attorney recklessly named five individuals in this civil litigation filing, all of whom are officers or directors of Mutual Securities, Inc., as publicly disclosed on the firm's Form BD. None of the named officers or directors were directly involved with supervising Plaintiffs' accounts. Plaintiffs' accounts were managed by an unaffiliated registered investment adviser hired by Plaintiffs. Please contact Mutual Securities' Compliance Department at msi.compliance@mutualhq.com for further details.

This arbitration filing named all publicly disclosed senior officers and directors of Mutual Securities, Inc., and notably did not name the unaffiliated registered investment adviser with whom plaintiff had contracted to manage plaintiff's accounts. Allegations include breach of contract, breach of duty, negligence, misrepresentation and omission, and violations of various FINRA rules and Federal and state laws. The plaintiff had maintained independently managed accounts with Mutual Securities, Inc. from 2011 to 2019.

$259,149.24

The FINRA arbitration panel granted the motion to dismiss Claimant's claims on September 11, 2020.

This arbitration filing named all publicly disclosed senior officers and directors of Mutual Securities, Inc., and notably did not name the unaffiliated registered investment adviser with whom plaintiff had contracted to manage plaintiff's accounts. Allegations include breach of contract, breach of duty, negligence, misrepresentation and omission, and violations of various FINRA rules and Federal and state laws. The plaintiff had maintained his independently managed accounts with Mutual Securities, Inc. from 2008 to 2017.

$727,000.00

Claimant's attorney recklessly named five individuals in this arbitration filing, all of whom are officers or directors of Mutual Securities, Inc., as publicly disclosed on the firm's Form BD. None of the named officers or directors were directly involved with supervising Claimant's account. Claimant's account was managed by an unaffiliated registered investment adviser hired by Claimant. Ms. Cohen denies all allegations against her. Please contact Mutual Securities' Compliance Department at msi.compliance@mutualhq.com for further details.