SHARI DIANE MILLER

SHARI DIANE MILLER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 7777 FAY AVE STE 315, LA JOLLA, CA, 92037-4325.

SHARI DIANE MILLER has worked at LPL FINANCIAL LLC since March 13, 1992

Disclosure History

SHARI DIANE MILLER has 1 Disclosure Event(s).

Date: October 21, 2005
Category: Customer Dispute
Allegations: ALLEGES UNSUITABILITY AND UNAUTHORIZED TRADING IN BROKERAGE ACCOUNT.
Damage Amount Requested: $40,000.00
Broker Comment: THE ALLEGATIONS ARE WHOLLY DENIED AND WITHOUT MERIT. INVESTMENTS WERE CONSISTENT WITH CUSTOMER'S STATED INVESTMENT OBJECTIVES. CUSTOMER ACKNOWLEDGED AND APPROVED TRANSACTIONS IN ACCOUNT. CUSTOMER HAS NOT INCURRED THE LOSSES ALLEGED. CUSTOMER MADE THREATENING PHONE CALLS TO REPRESENTATIVE AND REPRESENTATIVE RESIGNED FROM ACCOUNT MORE THAN ONE YEAR AGO.

More Information

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