RedFlags, Allegations and Complaints against DANIEL ALEXANDER MILLER
Disclosure #1 for DANIEL MILLER
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- Event Date: 3/12/2009
- Disclosure Type: Customer Dispute
- Resolution: Settled
- Allegations: THE ADVISOR DID NOT DISCLOSE THE FRONT-END SALES CHARGE WHEN THE CLIENT TRANSFERRED THEIR ACCOUNT TO AMERIPRISE FEB. 28, 2008. THE CLIENT REQUESTED REFUND OF THE SALES CHARGE.
- Damage Amount Requested: $6,251.28
- Settlement Amount: $6,251.28
- Arbitration Docket Number:
- Broker Comment: THE FIRM CONDUCTED AN INTERNAL INVESTIGATION REGARDING THE ABOVE CLIENT’S ACCOUNT. THE FIRM FOUND THE ADVISOR MAY NOT HAVE PROVIDED FULL DISCLOSURE OF SALES CHARGES, AT THE TIME OF SALE. IN ADDITION, THE CLIENT SIGNED THE PRODUCT SWITCH FORM TWO WEEKS AFTER THE TRANSFER WAS COMPLETED. THE FIRM ALSO REFUNDED THE CLIENT FINANCIAL AGREEMENT FEE OF $1,000.00 AS THE ADVISOR RESIGNED PRIOR TO COMPLETING THE PLAN IMPLEMENTATION AND ANNUAL SERVICE. THE ADVISOR’S CURRENT POSITION IS ASSISTING AN AMERIPRISE ADVISOR. THE CLIENT ACCEPTED OUR OFFER. THE FIRM RECEIVED THE SIGNED SETTLEMENT AGREEMENT ON 03/12/09.
Should I file a FINRA complaint against brokers like DANIEL ALEXANDER MILLER?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by DANIEL ALEXANDER MILLER’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About DANIEL ALEXANDER MILLER
What is DANIEL MILLER’s Central Registration Depository (CRD) Number?
Which firm is DANIEL ALEXANDER MILLER associated with?
AMERIPRISE FINANCIAL SERVICES, LLC
Where is DANIEL MILLER located?
11 GREENWAY PLZ, HOUSTON, TX, 77046
Where can I find more details about DANIEL MILLER’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/6363 to read a detailed report for AMERIPRISE FINANCIAL SERVICES, LLC
Are there any disclosures, allegations or complaints filed against DANIEL ALEXANDER MILLER?
Where can I download a detailed FINRA report for DANIEL MILLER?
Is it safe to do business with DANIEL ALEXANDER MILLER?
We’re not sure. Please research DANIEL MILLER’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:46 am
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