Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Miller (Miller), previously associated with Silver Oak Securities, Incorporated, 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 $75,000.00 on October 20, 2020.
Customer allegations against Silver Oak Securities include negligence, unsuitable recommendations, negligent supervision and breach of fiduciary duty.