Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Judson Miller (Miller), currently associated with Principal Securities, INC., 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 on April 19, 2023.
The client alleges the recommendation of the variable annuity was unsuitable, and the product was misrepresented by the financial professional.