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FINRA Bars Former Securities America Broker Derek Lee Miller Over Unsuitable Trading Investigation

FINRA barred Derek Lee Miller, a former broker with the Redondo Beach, CA branch of Securities America, after he refused to cooperate with an investigation into charges of unsuitable trading. Records indicate that in September 2014, Securities America discharged Miller for violating firm policies related to sales practices.

FINRA AWC #2014043091101

According to Miller's BrokerCheck report, the ex-Securities America broker previously settled a customer complaint alleging misappropriation of funds for $24,187.15, when Miller was associated with Merrill Lynch in San Diego. The report also noted that Securities America specifically terminated Miller after he "failed to follow firm policies and procedures relating to UIT sales practices."

Prior to his time at Securities America from 2013-2014, Miller worked out of the Santa Monica branch of Cambridge Investment Research, Inc. from 2010-2013.

If you have invested with Derek Lee Miller, or with any broker or financial adviser who has engaged in unsuitable trading or failed to follow firm or industry policies and procedures as relates to sales activity, and this misconduct has proven harmful to your investments, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for investigation and consultation.

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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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