Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
There was a FINRA arbitration filed against Raymond James Financial for alleged over-concentration into risky oil and gas Canadian Royalty Trust stocks. The case alleges that the investors, a retired man in his 60s, and his mother who is 90 years-old, had brokerage accounts with Raymond James Financial, Inc. Their financial advisor recommended that they invest in risky oil and gas, Canadian Royalty Trust stocks, also known as Canroys. These stocks were risky and not be suitable for the conservative, retired investor which caused them serious losses. The Canroys that were recommended were Pengrowth, Penn West and Enerplus.
Your stockbroker or financial advisor may have misrepresented the risks involved with these Canroys, or recommended these risky investments to someone who may have not been suitable due to their conservative portfolio.
Soreide Law Group has represented clients nationwide. If you or a family member have experienced a loss through the over-concentration of risky oil and gas stocks, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses. To speak with an attorney, call 888-760-6552, or visit www.securitieslawyer.com.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
A customer dispute that settled for $80,000 on July 16, 2026 is the newest entry on the BrokerCheck report of Stephen Kerutis (CRD 2345517). The clients in that matter alleged unsuitable recommendations, and Truist Investment Services is the firm on the disclosure.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
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