Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Miller (Miller), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint with a damage request of $4,000,000.00 on November 13, 2020.
Customer alleges that representative failed to supervise the activities of another representative alleged to have engaged in ‘fraudulent’ conduct. Activity period – 9/2011 to 12/2012.