DID RICHARD RAY MILLER CAUSE YOU INVESTMENT LOSSES?
Richard Miller Of Ameriprise Financial Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct
Who is Richard Miller of Ameriprise Financial Services, LLC?
Richard Miller (CRD #2529324) who is currently registered as a broker and investment adviser with Ameriprise Financial Services, LLC and located in Shelton, Connecticut, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Ameriprise Financial Services, LLC, Richard Miller was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Richard Miller Customer Complaints
Richard Miller has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Two customer complaints were denied by American Expressed Financial Advisors and the investors took no further action. The most recent complaint was filed against Ameriprise Financial Services and the customer is still awaiting a response from the brokerage firm about his complaint concerning Richard Miller’s business practices.
Allegations Against Richard Miller
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Advisors sold all customers positions in account without his authorization.
- Transfers from 2 John Hancock annuities to an American Express would not suitable.
- Failure to disclose surrender fees and tax implications related to switches of annuities.
- Allocation of investments in customer’s account was unsuitable.
Richard Miller Red Flags & Your Rights As An Investor
Of course, Richard 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 Richard Miller at Ameriprise Financial Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Richard Miller has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Ameriprise Financial Services, 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 Ameriprise Financial Services, LLC Due To Richard Miller
If you have questions about Ameriprise Financial Services, LLC and/or Richard 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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