{"id":5470,"date":"2013-06-18T00:00:00","date_gmt":"2013-06-18T05:00:00","guid":{"rendered":"https:\/\/institutionalinvestorsecuritiesblog.blawgcloud.com\/2013\/06\/former_broker_claims_he_is_the"},"modified":"2022-05-04T14:13:42","modified_gmt":"2022-05-04T19:13:42","slug":"former-broker-claims-he-is-the","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/former-broker-claims-he-is-the\/","title":{"rendered":"Former Broker Claims He is the Reason FINRA\u2019s Regional Director Resigned, While Ex-JP Morgan Broker Files Arbitration Claim Against His Former Employer"},"content":{"rendered":"\n<p>According to former broker David Evansen, he is the reason that Mitchel C. Atkins, the Financial Industry Regulatory Authority Inc.\u2019s District 7 region director, resigned. His claim differs from the SRO\u2019s statement about how Atkins decided to step down \u201cpursue other interests.\u201d Aktins, as FINRA regional director, was in charge of Florida, Atlanta, New Orleans  and Dallas, and he worked with the agency for 20 years. <\/p>\n<p>Evansen said that he wrote to FINRA chief executive Richard Ketchum and regulatory operations EVP Susan Axelrod to let them know that Atkins was indicted on both a misdemeanor and felony charge in Louisiana two decades ago. He said that he couldn\u2019t confirm for sure that his letter is why Atkins resigned but he is convinced that it is.  <\/p>\n<p>Per Evansen, Atkins purportedly used bingo game earnings for non-charitable purposes, which is illegal in that state. While the felony charge was dropped, Evansen said that Atkins pleaded guilty to the misdemeanor charge. After Atkins complied with his sentence term, which included conditional probation, community service, and other specifics, his record was expunged.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/former-broker-claims-he-is-the\/\"  title=\"Continue Reading Former Broker Claims He is the Reason FINRA\u2019s Regional Director Resigned, While Ex-JP Morgan Broker Files Arbitration Claim Against His Former Employer\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>According to former broker David Evansen, he is the reason that Mitchel C. Atkins, the Financial Industry Regulatory Authority Inc.\u2019s District 7 region director, resigned. His claim differs from the SRO\u2019s statement about how Atkins decided to step down \u201cpursue other interests.\u201d Aktins, as FINRA regional director, was in charge of Florida, Atlanta, New Orleans [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3798,3739],"tags":[],"class_list":["post-5470","post","type-post","status-publish","format-standard","hentry","category-arbitration","category-finra"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Former Broker Claims He is the Reason FINRA\u2019s Regional Director Resigned, While Ex-JP Morgan Broker Files Arbitration Claim Against His Former Employer &#8212; Investor Lawyers Blog &#8212; June 18, 2013<\/title>\n<meta name=\"description\" content=\"According to former broker David Evansen, he is the reason that Mitchel C. Atkins, the Financial Industry Regulatory Authority Inc.\u2019s District 7 region &#8212; June 18, 2013\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/former-broker-claims-he-is-the\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Former Broker Claims He is the Reason FINRA\u2019s Regional Director Resigned, While Ex-JP Morgan Broker Files Arbitration Claim Against His Former Employer &#8212; Investor Lawyers Blog &#8212; June 18, 2013\" \/>\n<meta name=\"twitter:description\" content=\"According to former broker David Evansen, he is the reason that Mitchel C. Atkins, the Financial Industry Regulatory Authority Inc.\u2019s District 7 region &#8212; June 18, 2013\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Former Broker Claims He is the Reason FINRA\u2019s Regional Director Resigned, While Ex-JP Morgan Broker Files Arbitration Claim Against His Former Employer &#8212; Investor Lawyers Blog &#8212; June 18, 2013","description":"According to former broker David Evansen, he is the reason that Mitchel C. 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