Louis Mark Miller (Louis Miller) Financial Advisor/Broker Louis Miller Barred from Securities Industry

Louis Mark Miller (Louis Miller) Financial Advisor/Broker Louis Miller Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses

Louis Mark Miller (Louis Miller) CRD #3054955

Louis Miller is a previously licensed financial advisor with LPL Financial. According to FINRA, Louis Miller was barred from the securities industry in October 2019.

According to the FINRA Complaint:

Louis Miller consented to the sanction and to the entry of findings that he failed to complete and return a FINRA pre-testimony questionnaire, and appear and provide testimony requested by FINRA in connection with its investigation into allegations that he improperly exercised discretion in customer accounts without prior written authorization.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with Louis Miller and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Louis Miller’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Louis Miller and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

Some of the information in this blog post was obtained on 1/20/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

Louis Miller, Louis Mark Miller, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, SEC, Louis Miller, Louis Mark Miller

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