BRIAN SCOTT MILLER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1178 NW 108TH TER., PLANTATION, FL, 33322.
BRIAN SCOTT MILLER has worked at LPL FINANCIAL LLC since May 23, 2016
BRIAN SCOTT MILLER has 3 Disclosure Event(s).
Date: January 13, 2012 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT INVESTMENTS BETWEEN MARCH 2008 AND NOVEMBER 2011 WERE UNSUITABLE AND RESULTED IN OVER $15,000 OF LOSSES Damage Amount Requested: $15,000.00 Broker Comment: TRADES IN QUESTION WERE TRANSACTED PRIOR TO MY EMPLOYMENT WITH BANK UNITED/LPL. I DID NOT OPEN ANY ACCOUNTS FOR THIS CLIENT NOR TRANSACT ANY BUSINESS FOR THIS CLIENT. I INHERITED THIS CLIENT FROM A PREVIOUS ADVISOR FOR SERVICE ONLY.
Date: April 07, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT INVESTMENT OF $60,000 IN VARIABLE ANNUITY IN MARCH 2008 WAS UNSUITABLE AND SEEKS RETURN OF INVESTMENT. COMPENSATORY DAMAGES NOT SPECIFIED BUT REASONABLY BELIEVED TO BE GREATER THAN $5000. Damage Amount Requested: $5,000.00
Date: December 08, 2008 Category: Customer Dispute Allegations: IN A WRITTEN COMPLAINT FILED ON THE CUSTOMER'S BEHALF BY HER DAUGHTER, THEY ALLEGED THAT THE VARIABLE ANNUITY PURCHASED IS AN UNSUITABLE INVESTMENT. Damage Amount Requested: $27,000.00 Broker Comment: CLIENTS OPENED A HARTFORD DIRECTOR A/C ABOUT A YEAR AND 1/2 AGO; AT THE TIME OF SALE WE DISCUSSED THE PRODUCT WITH THEIR DAUGHTER WHO FELT IT WAS A SUITABLE INVESTMENT ALONG WITH HER PARENTS. A NEW ADVISOR WAS HIRED AND GIVEN THE A/C AS I MOVED TO A DIFFERENT TERRITORY. THIS PAST SUMMER, A MGR WITH BANK UNITED FNCL SVCS INFORMED ME THAT THE CLIENTS' DAUGHTER COMPLAINED AFTER RECEIVING A RECENT STATEMENT. I MET WITH THE CLIENTS WHO INFORMED ME THE NEW ADVISOR TOLD THEM THE PRINCIPAL FRST GUARANTEE RIDER DID NOT CLEARLY EXPLAIN THE BENEFITS SELECTED. I WENT OVER THE BENEFITS AND THEY WERE REASSURED. ALL OF US UNDER THE GUIDANCE OF THE MANAGER, DECIDED TO REALLOCATE THE ACCOUNT. I LATER MOVED TO SMITH BARNEY AND CALLED THE CLIENTS TO INFORM THEM. I WAS TOLD THAT THE OTHER ADVISOR HAD RECENTLY SAT DOWN WITH THEM AND THEIR DAUGHTER, WENT OVER THE A/C AND INFORMED THEM THAT THE CHANGES MADE WERE NOT BENEFICIAL. THE ALLEGATION IS DENIED.
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
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