Robert D. Mitchell
Top rated Securities Litigation attorney in Phoenix, ArizonaTiffany & Bosco, P.A.
Practice Areas: Securities Litigation, Business Litigation, Real Estate
Licensed in Arizona since: 1988
Robert D. Mitchell is an attorney who focuses his legal practice on complex commercial and financial litigation, particularly in the areas of securities and investments, financial fraud litigation, business disputes and torts, defamation, and commercial real estate litigation. He has more than 30 years of experience in such cases. His cases generally involve litigation, arbitration and mediation of legal matters involving business and contractual disputes, investment and financial frauds, commercial real estate and development, corporate and LLC issues, and other commercial and financial matters. Robert represents clients in Arizona, California, Texas and Utah, and when admitted pro hac vice has handled commercial litigation matters in states across the United States.
Robert is also experienced in the evaluation, litigation (including class action litigation) and arbitration of securities, investment and commercial real estate cases. His investment cases have included litigation and arbitration of disputes involving stocks, bonds, options, commodities, limited partnerships, ERISA accounts, investment contracts and other securities. Robert has represented investors in litigation and arbitration cases against numerous brokerage firms, issuers, attorneys, and others. He also represents brokerage firms and stockbrokers in investment cases. Robert also serves as local counsel for out-of-state law firms and parties involved in large class action and complex litigation cases.
Robert also has represented companies and individuals in commercial real estate investment, development and business transaction disputes and other litigation matters. His clients include commercial real estate firms and developers in Arizona, California, and Utah, and real estate brokerage firms. Robert is experienced in all facets of litigation involving commercial real estate transactions, subdivisions, contracts, purchase and lease disputes, and other commercial real estate matters.
As a graduate of the Arizona State University Sandra Day O'Connor College of Law, Robert’s curriculum emphasis was in the areas of securities, corporation and business law, and included graduate business courses in the areas of finance and accounting. Prior to obtaining his Juris Doctor degree, he earned his Bachelor of Science degree from Arizona State University in accounting. Robert is also a graduate of the Arizona College of Trial Advocacy.
Robert is admitted to practice before the Supreme Court of the State of Arizona, Supreme Court of the State of California, Supreme Court of the State of Texas, Supreme Court of the State of Utah, United States District Court for the District of Arizona, United States District Court for the Southern District of California, and the United States Court of Appeals for the Ninth Circuit. He is a member of the State Bar of Arizona, State Bar of California, State Bar of Texas, State Bar of Utah, and the American Bar Association.
Robert has been given an "AV-rating", the highest peer-based rating an attorney can receive and is listed in the Martindale-Hubbell Bar Register of Preeminent Lawyers. He is also listed in Arizona’s Finest Lawyers (www.azfinestlawyers.org), and in the current editions of Best Lawyers in America® and Super Lawyers®, which are legal rating services which recognize the top attorneys across the country through independent research and peer evaluations. Less than 5% of attorneys qualify for recognition by Best Lawyers and Super Lawyers. Robert is listed in the current edition of Marquis Who's Who in American Law. Robert has also qualified for and been admitted to Mensa, a non-profit society recognizing intellectual ability and achievement.
Robert has served on various bar organizations related to the practice of law, and has served as an arbitrator in securities and commercial disputes. He has been a member of the panel of arbitrators of the New York Stock Exchange (NYSE) and the National Association of Securities Dealers now known as FINRA. He has previously served as an arbitrator in cases for the Better Business Bureau and the American Arbitration Association.
Robert has been a regular public speaker on legal related topics, including Effective Trial Opening Statements and Closing Arguments, Real Estate Litigation, Arbitration of Investment Disputes, Investment Analysts and Securities Litigation Legislation, the Securities Reform Act, Mechanic's Liens in Real Estate Transactions, and Alternative Dispute Resolution, among other subjects. He has been invited to speak before several securities industry training seminars on arbitrations and mediations. In addition, he has made a number of presentations to attorneys, broker-dealer firms, and other professional groups on securities law and regulatory compliance matters, and arbitration and mediation of securities arbitration disputes.
Robert has been involved in a number of civic activities. Robert has also served in the past as a member of the Board of Directors of the Arizona State University Alumni Association, and was one of four co-chairmen of its Old Main Restoration Committee, and has received the distinction of Outstanding Alumni Board Member. He is a past Chairman of the ASU Founder's Day Committee and the Awards Committee. He is a past President and a former Annual Scholarship Golf Tournament Chairman of the Arizona State University College of Business Alumni Association, a former member of the ASU Dean's Board of Excellence, and a past member of the Board of Directors of the Arizona State University College of Law Alumni Association. Robert remains actively involved with the ASU Sandra Day O’Connor College of Law as a donor and supporter.
Robert was lead counsel in a 2016 federal court case where the jury awarded his client (an investment professional) a record $38.3 million internet defamation judgment and was featured on the front page of the Wall Street Journal. Robert is no stranger to handling high profile cases, and he has been quoted or his cases reported on in the Wall Street Journal, New York Times, Fortune, Bloomberg, The Guardian, USA Today, The Seattle Times, The Las Vegas Review, The Arizona Republic, The Los Angeles Business Journal, Yahoo Finance, Car and Driver, Law360, Vanity Fair, BBC News, and other major publications.
First Admitted: 1988, Arizona
Professional Webpage: http://www.robertdmitchell.com
- "AV-Rating", Martindale-Hubbell Law Directory
- Arbitrator, American Arbitration Association
- Distinction of Outstanding Board Member, 1997 - 1998
- Arizona's Finest Lawyers
- Member of the Panel of Arbitrators, New York Stock Exchange (NYSE)
- Arbitrator, Better Business Bureau
- Marquis Who's Who in American Law
- Arizona College of Trial Advocacy
- Arizona State University, B.S. in Accounting
- Chairman, Securities Litigation and Arbitration Association
- Supreme Court of the State of Arizona
- Past Member, Board of Directors, Arizona State University College of Law Alumni Association
- Supreme Court of the State of Utah
- U.S. District Court District of Utah
- Member, State Bar of California
- Member, American Bar Association
- Former Chairman, State Bar of Arizona, Investors Division of the Securities Regulation Section
- Supreme Court of the State of Texas
- U.S. District Court Southern District of California
- Member, State Bar of Arizona
- Member, State Bar of Utah
- Former Member, Public Investors Arbitration Bar Association (PIABA)
- Supreme Court of the State of California
- U.S. District Court District of Arizona
- U.S. Court of Appeals 9th Circuit
- Member, State Bar of Texas
- National Association of Securities Dealers
- Past President and a Former Annual Scholarship Golf Tournament Chairman, Arizona State University College of Business Alumni Association
- One of Four Co-Chairmen, Old Main Restoration Committee
- Past Chairman, Awards Committee
- Former Member, ASU Dean's Board of Excellence
- Past Member, Board of Directors, Arizona State University Alumni Association, 1994 - 1998
- Past Chairman, ASU Founder's Day Committee
- Former Member, ASU Dean's Board of Excellence
- Robert Mitchell has authored or co-authored numerous articles on securities law and litigation topics which can be viewed at http://www.mitchell-attorneys.com/legal-articles/, www.mitchell-attorneys.com/legal-articles/
- The new sixth edition co-authored by Richard Himelrick and Robert Mitchell provides a comprehensive analysis of civil liability, defenses, and remedies under Arizona’s securities laws. Coverage extends not only to the Arizona Securities Act but to securities claims under the Consumer Fraud Act, the Investment Management Act, and common-law theories of intentional, negligent, and fiduciary fraud. A notable addition to this edition is an entirely new chapter that provides a comprehensive discussion of liability, defenses and remedies regarding securities-registration violations. The book explains the law in each area, as well as parallel developments under the federal securities laws, which are analyzed with particular attention to differences in Arizona and federal law., Co-Author, Arizona Securities Fraud Liability, Published by State Bar of Arizona, Lawyers, 2021
- Article discusses when landlords in commercial leases have liens on personal property in the leased premises., Author, Landlord’s Lien on Commercial Tenant’s Personal Property, 2019
- Many seemingly ordinary business transactions that may appear to not involve securities actually trigger the application of the securities law because they qualify as investment contracts., Author, Investment Contracts: Is Your Business Transaction a Security?, 2019
- The article discusses when specific performance is available upon the breach of a sales contract involving real property., Author, Specific Performance in Real Estate Contracts, 2021
- The purpose of this article is to analyze the procedure and timing of a typical FINRA arbitration proceeding., Author , The FINRA Arbitration Process Work for Investor Claimants, 2020
- Discusses how FINRA By-Law Article V, Section 3 and FINRA Rules 1122 and 2010 are violated when a FINRA member firm files a false U5 with FINRA., Author, False U5 Filings and Consequences, 2020
- The purpose of this article is to discuss the circumstances in which Associated Persons can obtain expungement of Form U5 information from their FINRA record., Author, Expungement of Form U5 Information, 2019
- The purpose of this article is to explain the process under the FINRA rules for expungement of a claim from a broker’s CRD report., Author, Expungement of a FINRA Customer Dispute, 2018
- Article discusses defending administrative securities proceedings., Author, Defending Arizona Securities Division Administrative Proceedings, 2019
- The respondent who is the subject of an adverse decision of the Arizona Corporation Commission (“ACC”) in a securities matter may file an application for rehearing within twenty (20) calendar days after entry of the ACC’s decision or order. A.R.S. §§ 44-1974, 44-3214. But see A.A.C. R14-3-112(A) (“Except as provided in subsection (G), any party in a contested case before the Commission arising out of Title 10 or 44 of Arizona Revised Statutes, who is aggrieved by a decision rendered in such case may file with the Commission, not later than ten days after service of the decision, a written application for rehearing or review of the decision specifying the particular grounds therefor.”). Unless otherwise ordered, filing an application for rehearing does not stay the ACC’s decision or order, and the respondent must comply with it. A.R.S. §§ 44-1974, 44-3214., Author, Appealing an Arizona Corporation Commission Securities Division Order, 2019
- When Is Filing a Governmental Complaint Concerning a Securities Fraud Beneficial?, Author, Filing a Securities Fraud Complaint, 2020
- Because the whistleblower provision of the Arizona Employment Protection Act does not specify a remedy, a harmed employee must take certain actions to protect their claims., Author, Whistleblower Claims Under Federal and Arizona Law, 2019
- This article lists and analyzes the elements required for a cause of action based on false light invasion of privacy., Author, The Elements of a False Light Invasion-of-Privacy Claim in Arizona, 2020
- This article lists and discusses the elements required for a defamation claim and briefly analyzes several possible defenses for the cause of action., Author, The Elements of a Defamation Claim in Arizona, 2020
- The article provides a synopsis of informal fiduciary relationships: their background, their distinct characteristics, and cases in which they arise., Author, Informal Fiduciary Relationships, 2020
- This article lists and analyzes the nine elements of common law fraud. Common law fraud liability is used to reach a wide range of tortfeasors. , Author, What Are the Elements of Common Law Fraud?, 2019
- The article discusses the circumstances under which the shareholders or officers of a corporation or LLC may be held liable for the debts or conduct of the entity. , Author, Alter Ego Doctrine and Piercing the Corporate Veil, 2021
- I have no problem with conflict and aggressive litigation. There are a lot of people that do not like conflict, avoid it, and unfortunately some of them have law degrees. That is not a good combination for an effective litigation attorney. I know my clients look to me to lead their cause, and I don’t shrink from it., Author, Why Should You Hire Robert Mitchell as Your Attorney?, 2021
- This article provides an overview of what information is considered a “trade secret” under Arizona law and how companies can protect such information., Author, What Are "Trade Secrets" in Arizona and Can Companies Protect Them?, 2020
- A reporter’s best secret is the information left unpublished: sources, documents, or unreleased details from a story. When a subpoena is served on a journalist, two federal and two state laws protect them from being compelled to disclose what they learned in the newsgathering process., Author, Subpoena Protections and the Press, 2020
- Article discussions what can you do when you have been libeled or slandered on the internet., Author, Internet Defamation and Remedies, 2020
- A Nevada jury's verdict in favor of a Robert Mitchell client serves as a cautionary tale for people contemplating internet defamation and invasion of privacy., Author, The Perils of Internet Defamation: $38.3 Million Jury Verdict, 2020
- Legal article discusses changes to the definition of Accredited Investor under the federal securities laws., Author, Accredited Investor Definitions, 2020
- Legal article addressing the sanctions that can be imposed by the Arizona Corporation Commission, a civil court and/or a criminal court for a failure to comply with Arizona’s securities laws., Fines, Penalties and Liabilities for Violating Arizona Securities Law
- Legal articles discusses how to identify, detect, avoid, and recover from a Ponzi scheme securities fraud., Ponzi Schemes, How to Detect and Avoid, How to Recover
- Legal article analyzes the definition of an “accredited investor” under federal and Arizona securities law., Who is Considered an Accredited Investor?
- Legal article analyzes and summarizes what transactions qualify as investment contracts, and thus securities under federal and state securities laws., Business Transactions/Investment Contracts and the Securities Laws
- Legal article analyzes and summarizes what instruments qualify as notes, and what notes are securities under the Arizona Securities Act., Notes as Securities Under Arizona Securities Act
- Legal article analyzes the securities registration and exemption provisions pursuant to federal and Arizona securities laws., Securities Registration and Exemption Under Federal and State Law
- Legal article summarizes what to expect and do if you have been named in an Arizona Corporation Commission Securities Division administrative action., Arizona Securities Division Administrative Proceedings
- Legal article analyzes a cause of action for breach of fiduciary duty in Arizona and the fiduciary duties that have been recognized in connection with investment transactions., Fiduciary Duties In Investment Transactions
- Legal article discusses non-dischargeable debts in securities-related matters under 11 U.S.C. § 523(a), including subsections (2), (4), (6) and (19)., Non-Dischargeable Securities Law Claims
- Financial Litigation
- Super Lawyers: 2014 - 2023