David Michael Miller and Huntington Investment Company
Have you lost money with financial advisor David Miller of Columbus, Ohio? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against David Michael Miller. FINRA barred Miller from the securities industry regarding allegations about making unsuitable investment recommendations to customers to invest in Unit Investment Trusts (or UITs).
FINRA alleged that David Miller had no reasonable basis for recommending the UITs. It also alleged that Miller made material misrepresentations and omissions when selling the UITs. FINRA barred Miller from the securities industry, ordered him to pay $799,000 in restitution, and fined him $15,000.
David Miller was a financial advisor and registered representative of Huntington Investment Company from June 2008 to August 2013. He worked at a branch office in Columbus, Ohio.
Brokerage firms like Huntington Investment Company have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Ohio. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.
Click to view: Miller FINRA Order
Click to view: Miller BrokerCheck 5.2.16
If you lost money with David Miller or Huntington Investment Company, please Contact Us at 720-599-3505 for a free evaluation of your case.