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WARNING! Impending Investigation–AON MILLER and BENJAMIN F. EDWARDS & CO. INC.

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12
Sep

WARNING! Impending Investigation–AON MILLER and BENJAMIN F. EDWARDS & CO. INC.

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Aon Miller and Benjamin F. Edwards & Co., Inc.

We are currently investigating allegations made against financial advisor Aon Miller from Chattanooga, Tennessee.  FINRA (the Financial Industry Regulatory Authority) alleged that Aon Miller solicited a number of his clients to invest in a number of private companies, including a real estate development company and a specialty chemical company.  Aon Miller was alleged to have raised $1,550,000 in these companies, despite being told by his firm, Benjamin F. Edwards & Company, Inc., not to solicit his customers to invest in these companies.  FINRA alleges that Aon Miller violated FINRA rules which require financial advisors to obtain approval before selling a particular investment.

Aon Miller was a registered representative and financial advisor with Benjamin F. Edwards & Company, Inc. from July 2011 to October 2012.  He was terminated by Benjamin F. Edwards & Company in October 2012 after it determined that Miller sold these investments without permission.

Broker-dealers like Benjamin F. Edwards & Company have a duty to adequately supervise their financial advisors to ensure that the advisor stays compliant with securities rules and regulations, to ensure that the advisor makes suitable investment recommendations, and to ensure that advisors do not misrepresent the risks of an investment.  If a broker-dealer fails to adequately supervise their financial advisors, the firm could potentially be liable for investment losses stemming from the failure to supervise.  If you have lost money with Aon Miller and want to hear about ALL legal options, please visit https://www.israelsneuman.com/ or call us at 720-599-3505.

Click here to view FINRA Complaint:  FINRA complaint Aon Miller

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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