10.0David P Neuman
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WARNING! Impending Investigation: DEREK LEE MILLER and SECURITIES AMERICA, INC.

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26
Aug

WARNING! Impending Investigation: DEREK LEE MILLER and SECURITIES AMERICA, INC.

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Derek Lee Miller and Securities America, Inc.

Have you lost money with financial advisor Derek Miller of Redondo Beach, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Derek L. Miller. FINRA barred Miller from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Miller after he was fired from his brokerage firm, Securities America, Inc., for allegedly failing to follow firm policies and procedures regarding unit investment trusts, or UITs.

Derek Miller was a financial advisor and registered representative of Securities America, Inc. from March 2013 to October 2014.  He was also affiliated with Cambridge Investment Research from June 2010 to March 2013.  He worked at branch offices in Redondo Beach and Santa Monica, California.

Brokerage firms like Securities America 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 Derek, ProEquities, Securities America, National Securities Corp., and many others.

 

If you lost money with Derek Miller, unit investment trusts (UITs), or Securities America, please Contact Us at 720-599-3505 for a free evaluation of your case.

 

Click to view:  Miller FINRA AWC

Click to view:  Miller BrokerCheck 8.25.15

 

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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