UPDATE! Have You Lost Money with DOUGLAS MILLER of Toledo, Ohio?
Allegations Against Douglas Miller of Triad Advisors – Toledo, Ohio
Have you lost money with financial advisor Douglas Miller of Toledo, Ohio? We are looking into allegations made by the Michigan Corporations, Securities & Commercial Licensing Bureau against Douglas S. Miller. Michigan barred Miller’s investment advisory license. In barring him, Michigan alleged that Miller was previously barred by FINRA, regarding allegations that he sold $25 million worth of investments in LLCs without notifying his former brokerage firm, Triad Advisors. He was alleged to have sold investments in equipment leasing, venture lending, and factoring.
Douglas Miller was a financial advisor and registered representative of Triad Advisors from October 2009 to July 2014. He has also been affiliated with Private Wealth Consultants. He worked at offices in Toledo, Ohio.
Brokerage firms like Triad Advisors 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 Ann Arbor, Michigan; Denver, Colorado; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Michigan. Attorney Aaron Israels is licensed to practice law in Michigan, he grew up in Holland, Michigan and also lived for many years in the Detroit area. We have also represented a number of victims who had their money stolen by Michigan brokers, including former Triad broker Christopher Tolmacs.
Click to view: Miller, Douglas BrokerCheck 5.10.19
Click to view: Miller, Douglas Michigan Order
Read Related Article: WARNING! Impending Investigation: GARY RATHBUN, DOUGLAS MILLER, and TRIAD ADVISORS, INC.
If you lost money with Douglas Miller, or Triad Advisors, CONTACT ISRAELS & NEUMAN at 720-599-3505 for a free evaluation of your case.