Articles Tagged with Brent Miller

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Miller (Miller), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,724.70  on April 10, 2020.

The customer alleged that two withdrawals from her variable annuity were used to establish an unauthorized MainStay account in the amount of $40,000 on or about February 10, 2020 and the purchase a new variable annuity on or about February 20, 2020 in which she incurred an upfront surcharge of over $4,000. The customer requested a reimbursement of all fees involved in the transaction, which she alleged were not disclosed at the time of the transaction.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Miller (Miller), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,724.70  on April 10, 2020.

The customer alleged that two withdrawals from her variable annuity were used to establish an unauthorized MainStay account in the amount of $40,000 on or about February 10, 2020 and the purchase a new variable annuity on or about February 20, 2020 in which she incurred an upfront surcharge of over $4,000. The customer requested a reimbursement of all fees involved in the transaction, which she alleged were not disclosed at the time of the transaction.