10.0David P Neuman
(720) 599-3505

INVESTOR ALERT! Complaints Against LOUIS MILLER of LPL Financial – New York


INVESTOR ALERT! Complaints Against LOUIS MILLER of LPL Financial – New York

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INVESTOR ALERT!  Complaints Against LOUIS MILLER of LPL Financial – New York

Louis Miller, previously with LPL Financial, Subject of FINRA Complaint


Have you lost money with financial advisor Louis Miller?  We are investigating allegations made about Louis Mark Miller from Jericho, New York.  FINRA (the Financial Industry Regulatory Authority) seeks to bar Miller from the securities industry.  FINRA alleges that Miller failed to respond to its investigation.   FINRA was investigating Miller after he was terminated by his former brokerage firm, LPL Financial, for improperly exercising discretion in customer accounts.


Louis Miller was a financial advisor and registered representative of LPL Financial from .  He worked in a branch office in Jericho, New York.


Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.


Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial.


Click to view:  Miller, Louis FINRA Complaint

Click to view:  Miller, Louis BrokerCheck 7.29.19


If you lost money with Louis Miller or LPL Financial, please CONTACT US at 720-599-3505 for a free evaluation of your case.




Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman


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