Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Miller (Miller), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $107,992.74 on October 15, 2024.
Executor for client’s estate, in hindsight, seeks to hold RR responsible for choices the client made with respect to exercising certain options under an annuity contract.
