Erez Law is currently investigating Raymond James & Associates, Inc. financial advisor Marc Miller (CRD# 4521825) regarding investment losses. Miller has been registered with Raymond James & Associates, Inc. in Port Charlotte, Florida since 2013.
Miller has been the subject of three customer complaints between 2008 and 2018, two of which were denied, according to his CRD report:
November 2018. “Incident Dates 2/13/01 – 7/31/18: Breach of contract, negligence, gross negligence, intentional and negligent misrepresentations and omissions of material facts, failure to disclose, negligent supervision, respondeat superior, breach of the duty of good faith and fair dealing, professional negligence, failure to investigate, fraudulent concealment, failure to perform due diligence, unfair business practices, fraud and deceit.” The customer is seeking $492,158 in damages and the case is currently pending.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Raymond James & Associates, Inc may be liable for investment or other losses suffered by Miller’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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