Marc Miller (CRD 1133692) is a registered representative with Western International Securities. According to BrokerCheck, a customer filed a claim against him on March 3, 2025 that remains pending.
Popular Securities, Inc. nka Popular Securities, LLC (CRD #8096, San Juan, Puerto Rico)
was censured and fined $125,000 for alleged failure to establish, maintain, and enforce a supervisory system and procedures reasonably designed to identify and review concentrated securities purchases, including PR municipal bonds and PR closed-end funds.
FINRA's findings stated that when the PR general obligation bond rating was downgraded, the Popular Securities’s customers continued purchasing concentrated positions of PR securities. Popular Securities’ WSPs did not outline the steps that Popular Securities should have taken to review its customers’ securities purchases for concentration, and apart from a procedure that required quarterly reviews of “elderly” customer accounts for concentration of one product in the client’s account, Popular Securities did not establish, maintain, or enforce any systems or procedures that required supervisors to review for concentrated purchases, including PR securities, or document their reviews.
(FINRA Case #2013035309401)
This summation of information appeared on FINRA's website, "Disciplinary and Other FINRA Actions February 2015."
Soreide Law Group (https://www.securitieslawyer.com) is currently representing clients with significant losses in their Puerto Rico Bond investments, both nationally and internationally. Call Soreide Law Group (888) 760-6552 for a free consultation on how you may be able to recover your losses.
Marc Miller (CRD 1133692) is a registered representative with Western International Securities. According to BrokerCheck, a customer filed a claim against him on March 3, 2025 that remains pending.
Zachary Cuyler Green, also known as Zach Green (CRD: 5714566), is a securities broker based in Raleigh, North Carolina. A client has claimed investment losses in a complaint involving Green, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Green worked with Merit Financial Advisors since May 8, 2025, and Purshe Kaplan Sterling Investments since May […]
Adam T. Taff, also known as Adam Taff (CRD: 5933315), is a securities broker and financial advisor in Charlotte, North Carolina. He has been registered with MML Investors Services LLC as a broker since July 26, 2011, and as a financial advisor since November 30, 2012. Taff disclosed a client complaint involving alleged investment losses, […]
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