August 25, 2015- Redondo Beach, CA
Derek Lee Miller , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to respond to a request to provide on the record testimony in connection with a FINRA investigation into potential unsuitable trading in a customer account.
AWC No. 2014043091101
Miller was barred from the securities industry.
According to FINRA records, Miller was registered with Securities America from 3/2013-9/2014. He was terminated by Securities America 9/2014 for “failure to follow firm policies and procedures relating to UIT sales practices”.
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.
Florida-561 391 1900