LAWRENCE BENJAMIN MILLER is currently employed as a Broker and/or Investment Adviser at EMERSON EQUITY LLC located at 155 BOVET ROAD, SUITE 725, SAN MATEO, CA, 94402.
LAWRENCE BENJAMIN MILLER has worked at EMERSON EQUITY LLC since October 25, 2016
Disclosure History
LAWRENCE BENJAMIN MILLER has 7 Disclosure Event(s).
Date: March 04, 2011 Category: Financial Type: Bankruptcy Disposition: Dismissed Broker Comment: Filed with the intent to save the family home from foreclosure.
Date: November 02, 2009 Category: Financial Type: Bankruptcy Disposition: Discharged Broker Comment: Filed with the intent to save the family home from foreclosure.
Date: July 24, 1998 Category: Customer Dispute Allegations: ACCOUNT RELATED NEGLIGENCE Settlement Amount: $192,000.00 Broker Comment: SETTLED FOR $192,000.00CLIENT HELD "TOWER NOTES" WHEN TOWERS FILEDBANKRUPTCY
Date: October 01, 1996 Category: Customer Dispute Allegations: ACCOUNT RELATED - NEGLIGENCE Settlement Amount: $192,000.00 Broker Comment: NOT PROVIDEDCLIENT HELD NOTES FOR TOWERS WHEN IT FILEDBANKRUPTCY
Date: December 07, 1995 Category: Customer Dispute Allegations: $15,000.00 DAMAGES. CLIENT HELD TOWER NOTESWHEN TOWER FILED BANKRUPTCY. Damage Amount Requested: $150,000.00 Settlement Amount: $27,570.00 Broker Comment: CHARGES DROPPED WITHOUT PREJUDICE. FIRM PAIDALL SETTLEMENT IN THE AMOUNT OF $27,570.00NOT PROVIDED
Date: October 09, 1992 Category: Customer Dispute Allegations: CLIENT [CUSTOMER] FILED COMPLAINT FOR BREACH OFCONTRACT FRAUD, NEGLIGENT MISREPRESENTATION AND SECURITIESFRAUD. Settlement Amount: $27,570.00 Broker Comment: SETTLEMENT FOR $27,570.00 (ORIGINAL INVESTMENTOF $35,000.00). [CUSTOMER] & [CUSTOMER] AFFILIATES FULLY AND FOREVERDENIED RELEASE AND DISMISS WITH PREJUDICE AND DISCLOSE FIRSTASSOCIATED SECURITIES GROUP/INC CARL MONTELLERI AND CONNIEMILLERNOT PROVIDED
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