FREDERICK MOORE MILLER is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 691 N. SQUIRREL ROAD, SUITE 222, AUBURN HILLS, MI, 48326.
FREDERICK MOORE MILLER has worked at RAYMOND JAMES & ASSOCIATES, INC. since March 12, 2010
Disclosure History
FREDERICK MOORE MILLER has 1 Disclosure Event(s).
Date: August 01, 1986 Category: Customer Dispute Allegations: CLIENT ALLEGED I DID NOT FOLLOW HISINSTRUCTIONS REGARDING THE SALE OF CORROON AND BLACK STOCK.CLIENT ALLEGED AMOUNT OF LOSS IN EXCESS OF 10,000.00 Settlement Amount: $10,000.00 Broker Comment: E.F. HUTTON OFFERED [CUSTOMER] 10,000 TO SETTLE.[CUSTOMER] REFUSED. THE CASE WENT TO ARBITRATION WHICH RECOMMENDED10,000.00 SETTLEMENT. [CUSTOMER] ACCEPTED THE RECOMMENDATION. THEREWERE NO PENALTIES, FINES, SUSPENSION OR RESTRICTIONS.[CUSTOMER] SOLD HIS INSURANCE AGENCY TO CORROONAND BLACK FROM 30,000 SHARES OF CORROON AND BLACK COMMON AT35.00 SHARE OF WHICH 7827 SHARES WAS UNRESTRICTED. [CUSTOMER] INDICATED HE WISHED TO SELL THE UNRESTRICTED STOCK AT 50.00WHEN THE STOCK PRICE HIT 50.00 I CALLED [CUSTOMER] AND HEAGREED TO SELL THE 7827 SHARES. THE NEXT DAY HE DELIVERED ALETTER CONFIRMING THE 7827 SHARE TRADE. THE STOCK PRICECONTINUED TO INCREASE TO 72.00 PER SHARE. [CUSTOMER]COMPLAINEDAND THEN FILED SUIT ALLEGING HIS INSTRUCTIONS WERE TO SELL THESTOCK IN SMALLER LOTS WHICH WOULD HAVE REALIZED A HIGHER PRICE.
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