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Investigating Complaints Against Marc Allen Miller II and Raymond James & Associates, Inc., in Port Charlotte, Florida

Did you lose money with financial advisor and securities broker Marc Allen Miller II and Raymond James & Associates, Inc. If so, the attorneys of Investment Loss Recovery Group want to help you to pursue full recovery of your investment losses. Our law firm aggressively protects the rights of investors nationwide. We can start work on your case right away.

Our founding attorneys, Jason Haselkorn and Matthew Thibaut, have a deep background in the financial services industry. They are both former licensed securities brokers and brokerage firm defense lawyers. Combined, they have more than 40 years of combined legal experience, including securities litigation and arbitration. They know how to hold brokers, financial advisors and firms accountable for their negligence and other misconduct as well as how to pursue a maximum recovery of investors’ losses. To discuss your case, contact us for a free consultation.

Who Is Marc Allen Miller II?

You can find information about Marc Allen Miller II (CRD# 4521825) through two publicly available databases, the Investment Adviser Registration Depository (IARD) and the Financial Industry Regulatory Authority (FINRA) Central Registration Depository (CRD). Based on Mr. Miller’s IARD Public Disclosure Report and his FINRA BrokerCheck report:

Mr. Miller currently is registered as a broker with five self-regulatory organizations, including FINRA, NYSE and NASDAQ. Through his employer Raymond James & Associates, Inc., in Port Charlotte, Florida, he is also licensed as a broker in 25 U.S. states and territories. He has been registered with Raymond James & Associates since February 2013.

Prior to being registered with Raymond James & Associates, Mr. Miller was registered with:

Firm Branch Registration Dates

Morgan Keegan & Company, Inc. Sarasota, FL Oct. 2008 to Feb. 2013

Edwards Jones Port Charlotte, FL June 2002 to Nov. 2008

As an investment adviser, Mr. Miller is registered in one jurisdiction: Florida. Over the course of his career, he has passed two general industry/product exams and two state securities law exams:

  • SIE (Securities Industry Essentials)
  • Series 7 (General Securities Representative)
  • Series 66 (Uniform Combined State Law)
  • Series 63 (Uniform Securities Agent State Law).

What Are the Complaints Against Marc Allen Miller?

According to Mr. Miller’s FINRA BrokerCheck report, clients filed a total of three complaints against him between 2008 and 2018. Two complaints were denied. The third complaint is currently in FINRA arbitration (FINRA No. 18-03632). In that complaint, a client alleges that Mr. Miller and his firm engaged in the following misconduct between February 2001 and July 2018:

  • Breach of contract
  • Negligence
  • Gross negligence
  • Intentional and negligent misrepresentations and omissions of material facts
  • Failure to disclose
  • Negligent supervision
  • Respondeat superior
  • Breach of the duty of good faith and fair dealing
  • Professional negligence
  • Failure to investigate
  • Fraudulent concealment
  • Failure to perform due diligence
  • Unfair business practices
  • Fraud and deceit.

The client filed the complaint in November 2018. It alleges $492,158 in damages.

How Can Clients Recover Investment Losses Involving Mr. Miller and Raymond James & Associates, Inc.?

Registered securities brokers and financial advisors must follow high standards of conduct in dealing with clients and their investment funds. A broker, for instance, has a duty to recommend suitable and appropriate investments and investment strategies based on their clients investment objectives and risk tolerance. This duty and other duties and responsibilities of financial services professionals can be breached by conduct such as:

  • Recklessly or negligently giving investment advice
  • Intentionally or negligently misrepresenting or concealing important facts about an investment
  • Failing to perform due diligence when advising clients.

Additionally, a brokerage firm owes a duty to its clients. For example, a firm must have a system in place which allows it to adequately supervise the conduct of the brokers that it employs. (See FINRA Rule 3110.) If a broker engages in misconduct that harms investors due to the firm’s failure to provide adequate supervision, the firm should be held accountable as well.

If you believe that a broker, financial advisor or firm breached a fiduciary duty owed to you or engaged in other misconduct, including breach of contract or fraudulent activity, you have a right to pursue all available legal options. Those options may include arbitration of your claims or litigation in a state or federal court. It will be important to work with a law firm that has an extensive background in securities arbitration and litigation.

Contact Our Investment Fraud Attorneys Today for a Free Case Review

If you lost money with Marc Allen Miller II and Raymond James & Associates, Inc., contact Investment Loss Recovery Group today for a thorough investigation of your case. Our attorneys can put more than 40 years of combined legal experience on your side and the knowledge and insight they acquired as licensed securities brokers and former brokerage firm defense attorneys.

At Investment Loss Recovery Group, we understand securities laws and the duties which they place on brokers, financial advisors and the firms which employ them. We know how to identify broker negligence and misconduct and how to maximize the recovery of our clients’ investment losses. Although we have extensive experience with litigating cases in state and federal courts and presenting cases before arbitration panels, we resolve many cases through settlements.

You have only a limited period of time to file claims based on broker misconduct. So, don’t wait to act. Call or reach us online now to discuss your case in a free consultation and learn more about how we can help you. We work with clients throughout the country.

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