INVESTIGATION of LOUIS MARK MILLER of LPL Financial – Jericho, NY
Louis Mark Miller, previously with LPL Financial, Barred from Securities Industry
Have you lost money with financial advisor Louis Mark Miller? We are continuing to investigate allegations made about Louis Mark Miller from Jericho, New York. FINRA (the Financial Industry Regulatory Authority) filed a complaint in July 2019, seeking to bar Miller from the securities industry. FINRA alleged that Miller failed to respond to its investigation.
In October 2019, FINRA barred Miller when he still refused to respond to the investigation. FINRA was investigating Miller after he was terminated by his former brokerage firm, LPL Financial, for improperly exercising discretion in customer accounts.
Louis Mark Miller (CRD# 3054955) was a financial advisor and registered representative of LPL Financial from November 2013 to December 2017. 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 FINRA Order
Click to view: Miller, Louis BrokerCheck 7.29.19
IF YOU LOST MONEY WITH LOUIS MARK MILLER OR LPL FINANCIAL, PLEASE CONTACT US AT 720-599-3505 FOR A FREE EVALUATION OF YOUR CASE.
Read Related Article: INVESTOR ALERT! Complaints Against LOUIS MILLER of LPL Financial – New York
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