DID MARK NORMAN MILLER CAUSE YOU INVESTMENT LOSSES?
Mark Miller Of LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct
About Mark Miller of LPL Financial LLC?
Mark Miller (CRD #1142801) is currently registered with LPL Financial LLC in White Bear Lake, Minnesota. He has been with LPL Financial since February 2010 and has a comprehensive background in the financial services industry dating back to his initial registration in 1983 with PFS Investments Inc. Miller is registered in 22 U.S. states and territories, and he has successfully passed 2 Principal/Supervisory Exams, 3 General Industry/Product Exams, and 2 Multi-State Securities Law Exams, showcasing a strong foundation in securities management and regulation.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Mark Miller Customer Complaints and Reviews
Mark Miller has several negative disclosures:
- Customer Disputes:
- Total Reported: 2 customer disputes, with 1 settled and 1 pending.
- Settled Dispute: This involved allegations of misrepresentation linked to a non-traded REIT, settled in January 2023 for $27,000, where Miller stated that he was not named as a respondent and denied any wrongdoing.
- Pending Dispute: A dispute filed in May 2024 alleges that an investment made in 2014 was unsuitable for the customer’s objectives and risk tolerance. This case is currently pending.
Allegations Against Mark Miller
- Misrepresentation: The settled dispute involved allegations that Miller misrepresented the nature of the investments, specifically a non-traded REIT.
- Unsuitability: The pending dispute alleges that Miller recommended an investment in 2014 that was not suitable for the client’s investment objectives and risk tolerance.
Mark Miller Red Flags & Your Rights As An Investor
Of course, Mark Miller did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Mark Miller at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Mark Miller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At LPL Financial LLC Due To Mark Miller
If you have questions about LPL Financial LLC and/or Mark Miller and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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