MATTHEW JAMES MILLER

MATTHEW JAMES MILLER is currently employed as a Broker and/or Investment Adviser at MESIROW FINANCIAL, INC. located at ONE OAKBROOK TERRACE, 18 W 140 Butterfield Road, 15th Floor, OAKBROOK TERRACE, IL, 60181.

MATTHEW JAMES MILLER has worked at MESIROW FINANCIAL, INC. since March 01, 2001

Disclosure History

MATTHEW JAMES MILLER has 1 Disclosure Event(s).

Date: November 12, 1992
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT MILLER FAILED TOSUPERVISE FA [OTHER FIRM EMPLOYEE] RESULTING IN DAMAGES OF$20,000.00.
Damage Amount Requested: $20,000.00
Settlement Amount: $13,500.00
Broker Comment: MATTER SETTLED WITHOUT ADMITTING LIABILITY FOR$13,500. MR. MILLER DID NOT CONTRIBUTE TOWARDS THE SETTLEMENT.Not Provided

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.

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