October 2018 – Eau Claire, WI
According to publicly available records Gary Lee Miller (CRD#2669776) , a former stockbroker who was last employed by LPL Financial , disclose a settled customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In January of 2017, a customer of SII Investments and LPL Financial, filed FINRA case #17-032 alleging that Miller recommended frequent switching of unsuitable variable annuities. That case was settled for $275,000.
Gary Lee Miller worked for SII Investments from October of 1998 until October of 2014 and was employed by LPL Financial from October 2014 until May of 2016. Miller also discloses a business affiliation with Mutual Financial Group and Mutual Insurance Group.
If you have questions about an investment account handled by Gary Lee Miller, contact us for a no charge consultation to learn about your legal options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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