WARNING! Impending Investigation: DANIEL MILLER and GROWTH CAPITAL SECURITIES
Daniel Miller and Growth Capital Securities
Have you lost money with financial advisor Daniel Miller of San Francisco, California? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel Steuer Miller. FINRA suspended Miller from the securities industry for six months after he allegedly sold $560,000 in an investment without authorization from his brokerage firm, Growth Capital Securities.
FINRA alleged that Daniel Miller recommended these investments during 2014. Along with the suspension, Miller agreed to pay a $5,000 fine.
Daniel Miller was a financial advisor and registered representative of Growth Capital Securities, Inc. from April 2013 to September 2014. He worked at a branch office in San Francisco, California.
Brokerage firms like Growth Capital Securities 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 and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities AmDaniela, National Securities Corp., and many others.
Click to view: Miller, Daniel FINRA AWC
Click to view: Miller, Daniel BrokerCheck 5.27.16
HAVE YOU LOST MONEY WITH DANIEL MILLER OR GROWTH CAPITAL SECURITES?
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