MARK ALLEN MILLER

MARK ALLEN MILLER is currently employed as a Broker and/or Investment Adviser at MORGAN STANLEY located at 35055 W TWELVE MILE RD STE 101, FARMINGTON HILLS, MI, 48331.

MARK ALLEN MILLER has worked at MORGAN STANLEY since June 01, 2009

Disclosure History

MARK ALLEN MILLER has 2 Disclosure Event(s).

Date: September 04, 2012
Category: Customer Dispute
Allegations: TIME FRAME: JUNE 25, 2008 CLIENT ALLEGES HIS INVESTMENT WAS REPRESENTED AS 100% PRINCIPAL GUARANTEED. THE CLIENT FURTHER ALLEGES HE WAS A CONSERVATIVE INVESTOR EVEN THOUGH HIS ACCOUNT WAS LISTED AS AGGRESSIVE.
Damage Amount Requested: $10,000.00
Settlement Amount: $2,500.00

Date: October 18, 2010
Category: Customer Dispute
Allegations: TIME FRAME: CLAIMANT ALLEGE SALES PRACTICE VIOLATIONS IN CONNECTION WITH THE PURCHASE OF LEHMAN BROTHERS STRUCTURED NOTES.
Damage Amount Requested: $212,000.00
Settlement Amount: $113,360.00

More Information

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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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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