Last Updated: September 2025 — New Braunfels, TX
Here’s what you need to know about New Braunfels, TX, stockbroker Joey Dale Miller:
- Name: Joey Dale Miller
- Current Employer: DAI Securities, LLC (Registered Rep since 10/30/2023); DAI Wealth, LLC (Investment Adviser Rep since 11/08/2023)
- Prior Firms: Arete Wealth Management, LLC (01/2014–11/2023); Arete Wealth Advisors, LLC (10/2014–11/2023); ARI Financial Services, Inc. (07/2013–12/2013)
- Other Business Affiliations: JMKW Ventures; JGFS Management LLC; John Galt Wealth Solutions
- CRD number: 6175826
- Stockbroker / Financial Advisor: Yes — currently a FINRA-registered representative and investment adviser representative; exams passed include SIE, Series 22, Series 63, and Series 65
- Can Broker be Sued in FINRA: Yes
- Sanctioned by Securities Regulators: SEC civil action is pending (filed 01/17/2025)
- Discharged by a Prior Employer: Yes
- Highest Award of Settlement: $275,000
- Current Customer Dispute Seeks Total Damages of $779,212
If you’ve sustained damages from Mr. Miller, 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?
- Pending FINRA Arbitration: On 07/25/2025, a customer of Arete Wealth Management filed a FINRA arbitration (Case No. 25-01526) alleging that while at , LLC, Mr. Miller sold an unsuitable alternative investment. The claim seeks $779,212 in damages.
- Settled FINRA Arbitration : In FINRA Case No. 24-00493 (3/2024), a former Arete Wealth customer alleged unsuitable recommendations (2018–2019) in alternative investments. The matter settled on 03/2025 for $160,000
- Settled FINRA Arbitration: Civil Case filed by customer of Traders Edge was paid $275,00 to resolve allegations that Miller caused account losses.
- SEC Civil Action (Filed January 2025): On 01/17/2025, the SEC filed a civil complaint in the U.S. District Court for the Northern District of Illinois (Chicago), Case No. 1:25-cv-00616, naming Arete Wealth, Arete Wealth Advisors, Joey D. Miller, and others. The complaint alleges “selling away” of Zona Energy, Inc., fraud/misrepresentations, and obtaining misleading liability releases from advisory clients; regulators seek injunctive relief, penalties, and industry bars. The SEC alleges more than $8.5 million was raisedfrom investors; status pending.
- Employment separation: Discharged by Arete Wealth Management on 10/11/2023 for being “not forthcoming during an internal investigation.”
Allegations of Broker Misconduct Against Joey Dale Miller
- Unsuitable Recommendations of Alternative Investments.
- Selling Away / Private Securities Transactions Without Firm Approval.
- Fraud, Misrepresentation, and Omission of Material Facts.
- Breach of Fiduciary Duty to Advisory Clients.
- Use of Non-Firm Communications / Recordkeeping Concerns.
Recover Your Investment Losses Now With Rex Securities Law
Investigations of other Arete Wealth Management Brokers
If you have suffered investment losses in an account handled by Joey Dale 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.