RICHARD ROBERT MILLER is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 4465 N OAKLAND AVENUE, SUITE 120, MILWAUKEE, WI, 53211.
RICHARD ROBERT MILLER has worked at NYLIFE SECURITIES LLC since November 04, 1982
Disclosure History
RICHARD ROBERT MILLER has 1 Disclosure Event(s).
Date: May 07, 2007 Category: Customer Dispute Allegations: WITH REGARD TO THE PURCHASES OF VARIABLE LIFE INSURANCE POLICIES IN OR AROUND JULY OF 1998, CUSTOMER STATED THAT HE HAS BEEN PERMANENTLY DISABLED SINCE DECEMBER OF 1990 AND ALLEGES THAT HE ASKED FOR THE WAIVER OF PREMIUM BENEFIT OPTION AND HIS INQUIRIES WERE IGNORED. HE ALLEGES THAT HIS AGENT WAS AT FAULT AND WAS NOT ACTING IN HIS BEST INTEREST. Broker Comment: BASED ON OUR GOOD FAITH ESTIMATE IT IS DETERMINED THAT THE COMPENSATORY DAMAGES WOULD BE MORE THAN $5000.00.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for RICHARD ROBERT MILLER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.