Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nathaniel Miller (Miller), currently associated with Edward Jones, 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 settled customer complaint with a damage request of $35,000.00 on April 17, 2020.
Claimant alleges that on or about March 19, 2020, he provided an instruction to sell only bond funds in two retirement accounts. He alleges that on March 24, the registered representative incorrectly sold all funds, including equities.