Investors might have sustained losses due to securities broker Richard Ray Miller (also known as Rick Miller) [CRD: 2529324, Shelton, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard Miller joined Ameriprise Financial Services LLC on September 21, 1994. Continue reading to learn more about Richard Miller's disclosures and the allegations against him.
Particularly, a client filed a complaint about Miller. Supposedly, Miller sold all positions from his Ameriprise One account without his authorization. Because of this, the client allegedly sustained damages on over-the-counter equities, stocks, and direct investments.. Therefore, on March 13, 2024, Ameriprise Financial Services LLC settled this matter by paying the client $1,962.44 in damages.
Notably, a client of American Express Financial Advisors contested Richard Miller’s sales practices, according to a complaint dated December 5, 2002. Allegedly, Miller caused the customer to have an unsuitable investment allocation. Therefore, the client sought compensatory relief from Ameriprise Financial Services LLC or Miller. However, the firm denied this complaint.
Specifically, on August 13, 2001, an Ameriprise Financial Services LLC client filed a complaint about Richard Miller. Evidently, the client alleged that Miller's transfers from two John Hancock annuities to American Express were not suitable because she incurred $14,328.87 in surrender charges. She also indicated that he did not disclose the tax implications of the transfers. However, the firm denied this complaint.
Experienced losses because of Richard Miller? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Miller and Ameriprise Financial Services deny accusations of sales practice violations.
ADAM EDWARD BRUNIN (ADAM E BRUNIN, ADAM BRUNIN) is currently registered as an investment advisor with Navigation Wealth Management of Ft. Collins, Colorado since 4/5/2016. ADAM E BRUNIN was previously registered as a broker with Sigma Financial Corporation of Ft. Collins, Colorado from 11/08/2005 - 02/22/2016, and as an investment advisor with SPC of Ft. […]
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