Haselkorn & Thibaut Initiates Investigation Into Mitchell Allen Arnold of LPL Financial LLC – Lake Mary, FL
Are you a Florida investor who worked with Mitchell Allen Arnold (CRD #1721111) at LPL Financial LLC? If you’ve experienced investment losses, you are not alone—and you’re not without options. Haselkorn & Thibaut, a nationwide investor law firm with over 50 years of experience and a 98% success rate, has opened an investigation into recent allegations involving Mr. Arnold, who is based in Lake Mary, FL.
Who Is Mitchell Allen Arnold?
- Name: Mitchell Allen Arnold
- CRD Number: 1721111
- Current Broker-Dealer: LPL Financial LLC (since 2006)
- Office Address: 135 Middle Street, Suite 1001, Lake Mary, FL 32746
- Prior Affiliations: Raymond James Financial Services, FSC Securities Corporation, Pension Investors Securities Corporation
- Other Activities: Financial Services of Central Florida, Inc., Allan Horowitz & Associates, Inc., fixed life/annuity sales
- Industry Licenses: FINRA General Securities Representative and Principal
Current Issues and Allegations: What Investors Need to Know
A pending FINRA arbitration filed in January 2026 (FINRA Case No. 26-00011) directly names Mitchell Allen Arnold in connection with a complex investment strategy that allegedly involved:
- Non-traded and alternative investments (such as REITs)
- Non-transparent and complex products
- Marked as possibly unsuitable for the customer’s investment goals and risk tolerance
- Failure to fully inform clients about the tax consequences of annuity rollovers relating to these products
The claimants in the case are seeking $400,000 in damages.
Summary Table: Allegations and Red Flags
| Issue | Description |
|---|---|
| Unsuitability | Recommendation of complex or illiquid products allegedly without proper alignment to client needs (possible breach of FINRA Rule 2111) |
| Breach of Fiduciary Duty | Allegations that Arnold did not act in his customer’s best interests regarding investment advice |
| Misrepresentation | Claims of inadequate disclosure about risks and material facts of the investments (potential FINRA Rule 2020 & 2010 concern) |
| Pending Arbitration | Ongoing FINRA dispute seeking $400,000 in damages related to alternative investment strategy |
Why Are Alternative Investments a Red Flag?
Alternative investments such as REITs, hedge funds, private capital, energy, and infrastructure often:
- Are less liquid and harder to sell than traditional investments
- Carry higher fees and greater overall risk
- Are subject to less regulatory scrutiny
- May not be suitable for all investors—especially those seeking steady income or lower risk
If you purchased non-traded or complex products through Mitchell Allen Arnold without full transparency on costs and risks, it is critical to review your investment history.
How To Check for Complaints, Disclosures or Regulatory Actions
Concerned about other possible issues? Investors should routinely monitor their broker’s record:
- Visit FINRA BrokerCheck to review complaint or disciplinary history
- Check for arbitration filings, disclosures, or regulatory actions
- Review your own brokerage statements closely for unusual fees, losses, or unexpected transactions
Haselkorn & Thibaut can help with a comprehensive review and provide guidance on how to protect your rights.
What to Do if You Suffered Losses with Mitchell Allen Arnold at LPL Financial
If you lost money while working with Mitchell Allen Arnold of LPL Financial LLC, it is important to explore your legal options—even if your losses are not yet part of a filed complaint.
- FINRA arbitration is typically the fastest and most effective process for recovery
- Many investors are unaware that losses due to unsuitability, misrepresentation, or breach of fiduciary duty can be recovered—even if you signed risk disclosures
- There are strict time limits to file claims—acting fast may preserve your rights
Complaints and Disputes on Record (as of February 2026)
- January 2026 – Pending FINRA Arbitration: Investors allege $400,000 in damages related to complex and non-transparent investment strategies recommended by Arnold, including possible failure to disclose tax impacts and risks
If you believe you have suffered harm, other past or possible resolved complaints may not always be public—prompt review protects your interests.
How Haselkorn & Thibaut Can Help You
With over 50 years of experience and a 98% success rate representing investors nationwide, Haselkorn & Thibaut is ready to guide you at every step. We offer:
- Free, confidential consultations
- No legal fees unless you recover compensation
- Nationwide representation—our firm has recovered millions for investors just like you
- Experienced attorneys who know LPL Financial arbitration, regulatory rules, and industry standards
Don’t let uncertainty about your case keep you from seeking answers. You do not have to face this process alone!
Get a Free Consultation About Your Case
If you lost money with Mitchell Allen Arnold or have concerns about your investments at LPL Financial, contact Haselkorn & Thibaut today at 1-888-885-7162 for your complimentary, no-obligation case review.
Take Action, Protect Your Financial Future:
- Review your investments and statements
- Write down details of your experience
- Connect now with our experienced team for immediate answers
Haselkorn & Thibaut—putting investors first, with no recovery/no fee.
