Joey Miller Facing DAI Client Dispute About Suitability

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Joey Dale Miller [CRD: 6175826, New Braunfels, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joey Miller worked for Arete Wealth Advisors LLC from October 27, 2014, to November 2, 2023, and for Arete Wealth Management LLC from January 3, 2014, to November 2, 2023. Also, he joined DAI Securities LLC on October 30, 2023, and DAI Wealth LLC on November 8, 2023. Here’s more about Joey Miller’s disclosures.

DAI Wealth Investor Accused Miller Of Unsuitable Recommendations

Particularly, on March 6, 2024, a Arete Wealth Management LLC client filed FINRA Arbitration No. 24-00493 about Joey Miller. Supposedly, Miller made unsuitable investment recommendations. Because of this, the client allegedly sustained damages on alternative investments. Therefore, the client requested $329,000 in compensation from Arete Wealth Management LLC or Miller. Evidently, this arbitration is pending a resolution.

Employment Termination Of Joey Miller

Particularly, on October 11, 2023, Arete Wealth Management LLC disaffiliated with Miller. Arete Wealth Management LLC alleged that Miller was not cooperative during an investigation.

Traders Edge Client Accused Miller Of Sales Practice Violations

Also, a client of Traders Edge contested Joey Miller’s sales practices by filing Civil Action No. 4:12-CV-01943. Allegedly, Miller caused the client to incur some losses in commodity options. It appears that Miller caused the client to sustain damages. As a result, Traders Edge opted to settle the matter on June 23, 2014, by compensating the client in the amount of $275,000.

Losses Because Of Securities Broker Joey Miller?

Suffered losses because of Joey Miller? If so, get in touch with Soreide Law Group online or at (888) 760-6552 so you can talk to a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, represents investors through contingency fees, and advances all costs. Miller and brokerage firms Miller worked for deny accusations of sales practice violations.