May 2025 – Atlanta, GA
The FINRA records of of David Harrison Miller , formerly a stockbroker with Peachcap Securities is not currently registered with FINRA. He discloses 9 prior customer disputes and 1 pending customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 7/2023 Miller was permanently barred from the industry by FINRA after he refused to appear for on-the-record testimony requested by FINRA in connection with their investigation into the suitability of Miller’s investment recommendations.
In an earlier regulatory sanction in 2021 the U.S. Securities and Exchange Commission issued permanent bar and assessed a $65,000 fined for various violations including sending a Confidential Private Placement Memorandum with material misrepresentations and for engaging in various high-risk trading strategies.
Miller discloses 8 customer disputes that were settled with cash payments, including:
In June of 2019, a customer of PeachCap Securities Inc., and PeachCap Tax & Advisory customer was unhappy with the performance of his investment . That case settled for $50,000.
In April of 2019, a PeachCap Securities, Inc. and PeachCap Tax & Advisory customer was unhappy with the performance of their investment with an affiliated firm. The alleged damages were $315,000. The case settled for $315,000.
In February of 2019, another PeachCap Securities Inc., and PeachCap Tax & Advisory customer was unhappy with the performance of his investment and an affiliated firm. This case settled for $100,000.
In August of 2019, a PeachCap Securities Inc., and PeachCap Tax & Advisory customer filed FINRA case #19-02045 alleging damages of $1,200,000 on direct investments and LPs. The case was settled for $550,000 in 5/2020.
Miller was employed with Peachcap Securities from 10/2015- 12/2021. He also discloses business affiliations with Miller Wealth Financial since August of 2008.
If you have problems in an account handled by David Harrison Miller call for a no charge consultation with an experienced securities attorney .
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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