R. Mitchell Wickham is Facing an Investor Dispute

R. Mitchell Wickham (CRD #: 3232059), a broker registered with UBS Financial Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on August 3, 2025. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On April 2, 2025, investors alleged that they were victims of financial exploitation that led to the wrongful withdrawal of funds from their accounts. These funds were allegedly transferred to scammers. The investors allege that UBS and R. Mitchell Wickham ignored red flags and that the transactions were suspicious. 

The investor is seeking $1.19 million. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to note the red flags of suspicious transactions may violate this rule. 

Background Information 

Mitchell Wickham has passed the following exams:

• Series 66 Uniform Combined State Law Examination 
• Series 65 Uniform Investment Adviser Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 31 Futures Managed Funds Examination 
• Series 7 General Securities Representative Examination

He is a registered broker in 50 states, D.C., and the U.S. Virgin Islands, and Puerto Rico. He is a registered investment advisor in North Carolina, Pennsylvania, and Texas. 

Mitchell Wickham has registered with UBS Financial Services (CRD #: 8174) and Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691). 

Kurta Law Can Help

If you worked with R. Mitchell Wickham and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.