JAMES GORDON MILLER is currently employed as a Broker and/or Investment Adviser at INTERVEST INTERNATIONAL EQUITIES CORPORATION located at 3131 Brookridge Circle, ANCHORAGE, AK, 99504.
JAMES GORDON MILLER has worked at INTERVEST INTERNATIONAL EQUITIES CORPORATION since January 27, 2015
Disclosure History
JAMES GORDON MILLER has 2 Disclosure Event(s).
Date: January 09, 2008 Category: Customer Dispute Allegations: THE CUSTOMER SENT A WRITTEN COMPLAINT TO THE BROKER/DEALER ALLEGING THAT BETWEEN DECEMBER 2006 AND DECEMBER 2007, MR. MILLER ENGAGED IN UNAUTHORIZED TRADING OF HER MONEY MARKET FUNDS AND ON AT LEAST ONE OCCASION FORGED THE CUSTOMER'S NAME ON A CREDIT CARD DISTRIBUTION REQUEST. Damage Amount Requested: $149,000.00 Settlement Amount: $5,600.00
Date: January 09, 2008 Category: Employment Separation After Allegations Firm Name: ING FINANCIAL PARTNERS, INC. Termination Type: Discharged Allegations: THE FIRM RECEIVED A WRITTEN, CONSUMER INITIATED COMPLAINT CONTAINING ALLEGATIONS OF FORGERY AND UNAUTHORIZED TRADING. Broker Comment: ING LAUNCHED AN INVESTIGATION AND SUBSEQUENTLY DENIED THE COMPLIANT.
More Information
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