Jeffrey Miller (CRD #: 539445), a broker registered with American Portfolios Financial Services, Inc., is the subject of multiple investor disputes alleging unsuitable recommendations, according to his BrokerCheck record, accessed August 25, 2020. These are not the only disclosures in Jeffrey Miller’s broker record.
On June 17, 2020, clients alleged that Jeffrey Miller recommended unsuitable, alternative investments. Claimants also generally allege that Mr. Miller misrepresented certain securities, breached his fiduciary duties, failed to supervise, and was negligent. The clients are seeking $125,000; the dispute is pending.
On December 23, 2019, investors alleged that Mr. Miller misrepresented a security and made unsuitable investment recommendations. They further allege that Mr. Miller neglected his supervisory duties. The investors are seeking $125,000; the dispute is pending.
On July 18, 2016, Jeffrey Miller was permitted to resign from his position at First Allied Securities, Inc., following allegations that he was a joint registered representative on accounts where a non-registered assistant violated firm policy by reusing client signatures. The allegations also state the Mr. Miller worked in concert with the assistant to alter client-signed documents.
Jeffrey Miller has passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in Arizona, Connecticut, Delaware, Florida, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, and Virginia.
During his 11-year career, Jeffrey Miller has worked at the following firms:
- First Allied Securities, Inc. (CRD #: 32444)
- SII Investments, Inc. (CRD #: 2225)
If Jeffrey Miller was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys at Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for your free case consultation with a securities attorney.