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Mitch Barnes Involved in a Third Investor Dispute

Mitch Barnes (CRD #: 1742859), a broker registered with Northwestern Mutual Investments Services, is involved in a new investor dispute, according to his BrokerCheck record, accessed on August 25, 2021. Details are provided below.

On June 24, 2021, investors alleged that Mitch Barnes traded positions in trust accounts without the knowledge of trustees. This allegedly created a taxable event. The investor is seeking $87,374; the dispute is pending.

On April 14, 2016, an investor alleged that Mitch Barnes recommended an unsuitable Gift Annuity Agreement. The investor sought $810,497; the dispute settled for $85,000.

On May 13, 2010, investors alleged that when Mitch Barnes sold them a standardized profit-sharing plan and trust, he neglected to tell them that to qualify for the plan they must own a business enterprise. The investors also alleged that Mitch Barnes told them the investment would be protected from tax liabilities. The dispute settled for $77,500.

Mitch Barnes Background Information

Mitch Barnes has passed the following exams:

  • Series 66 Uniform Combined State Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination

He is a registered broker in 33 states.

Mitch Barnes has worked with the following firms:

  • Northwestern Mutual Investment Services (CRD #: 2881)
  • Family Wealth Counseling (CRD #: 114078)
  • Robert W. Baird (CRD #: 8158)

Kurta Law Can Help

If you worked with Mitch Barnes and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email