Investors have come forward with complaints about securities broker Jeffrey Adam Miller (CRD: 4251936, Greenwich, Connecticut). Evidently, the securities broker, who worked for UBS Financial Services Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, UBS Financial Services Inc. clients allege that Miller made unsuitable recommendations. For more on these disclosures about Miller, see below.
Miller Discloses Unsuitable Recommendations Allegations By UBS Financial Services Inc. Client
Also, a client of UBS Financial Services Inc. contested Jeffrey Miller’s sales practices by filing FINRA Arbitration: 21-01474. Allegedly, Miller gave unsuitable advice. It appears that Miller caused the client to sustain damages. Therefore, UBS Financial Services Inc. opted to settle the matter on January 13, 2023, by compensating the client in the amount of $75,000.
Morgan Stanley Investor Accuses Miller Of Breach Of Fiduciary Duty
Specifically, a Morgan Stanley client filed FINRA Arbitration: 16-01538 about Jeffrey Miller. Namely, the client alleged that Miller breached a fiduciary duty, breached a contract, was negligent, and made unsuitable recommendations. Because of this, the client allegedly sustained damages. Therefore, on November 22, 2017, a FINRA Arbitration Panel issued an Award ordering Morgan Stanley or Miller to pay the client $209,775 in damages.
Jeffrey Miller Discloses Failure To Follow Instructions Allegations By UBS Financial Services Inc. Client
Also, a client of UBS Financial Services Inc. contested Jeffrey Miller’s sales practices, according to a complaint. Allegedly, Miller failed to timely liquidate the client's account. Supposedly, Miller caused the client to sustain damages on over-the-counter equities. Therefore, UBS Financial Services Inc. opted to settle the matter on November 24, 2015, by compensating the client in the amount of $10,000.
Morgan Stanley Investor Accuses Miller Of Unsuitable Recommendations
Supposedly, on January 26, 2009, a Morgan Stanley client filed a complaint about Jeffrey Miller. Namely, the client alleged that Miller gave unsuitable advice and failed to execute a stop loss order. Because of this, the client allegedly sustained damages on stocks. Therefore, the client requested $50,000 in compensation from Morgan Stanley or Miller. However, the securities firm denied this complaint.
- Miller has worked for UBS Financial Services Inc. in Greenwich, Connecticut, as a securities broker since November 1, 2013.
- Miller has worked for UBS Financial Services Inc. in Greenwich, Connecticut, as a financial advisor since November 1, 2013.
Damages Resulting From UBS Financial Services Inc. Securities Broker Jeffrey Miller?
Did you sustain damages by investing with Jeffrey Miller? If you have, reach out to Soreide Law Group at (888) 760-6552 and talk with a securities lawyer about a possible recovery of your losses. Soreide Law Group, who has effectively recovered money for investors across the United States, represents clients on a contingency fee basis and advances all costs. Miller and brokerage firms Miller worked for deny any and all allegations of misconduct.
