Last Updated: November 2023 (New Braunfels, Texas/ Lake Oswego, OR)
Joey Miller Investigation Summary
Here’s what you need to know about New Braunfels, Texas, stockbroker Joey Miller:
- Name: Mr. Joey Dale Miller
- Current Employer: DAI Securities, DAI Wealth (RIA)
- DBA: John Galt Wealth Solutions
- Previous Firms: Arete Wealth Management, ARI Financial Services
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Joey Miller
- Primary Location: New Braunfels, TX / Lake Oswego, OR
- CRD 617826
- Can Joey Miller be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by a prior employer: Yes
- Highest Settlement or Award: $275,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Joey Miller As Your Stockbroker?
Joey Miller was recently discharged by Arete Wealth Management who make the following allegation on Miller’s FINRA record: “Firm determined that Registered Representative was not forthcoming during an internal investigation”
Joey Miller’s FINRA record reveals one prior settlement with a customer for $275,000.
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Joey Miller, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
