Goodman & Nekvasil P.A, May Recover Investor Losses – Douglas Scott Miller (Doug Miller) Permitted to Resign from Triad Advisors, Inc. and Barred from the Securities Industry
From 2005 until Doug Miller’s resignation in 2014, Doug Miller was licensed with Triad Advisors, Inc. According to FINRA’s records, Doug Miller was permitted to resign from Triad Advisors, Inc. on July 11, 2014. Triad Advisors, Inc. reported to FINRA that Doug Miller was permitted to resign while under internal review for violation of firm policy with respect to private securities transactions.
Subsequent to Doug Miller’s termination, FINRA brought a disciplinary action against Doug Miller. Doug Miller consented to a bar from the securities industry. FINRA reports that Doug Miller consented to the entry of findings that Doug Miller and another registered representative participated in the sale of $25.5 million in LLC investments to clients of Private Wealth Consultants, Ltd. According to the FINRA disciplinary action, Doug Miller and the registered representative were paid more than $600,000 in monitoring fees on these investments between 2010 and 2014, in addition to investment advisory fees.
If you lost any money on investments with Doug Miller, including investments with Private Wealth Consultants, Ltd., you may be able to recover your losses from Triad Advisors, Inc. This is because Triad Advisors, Inc. had a duty to supervise Doug Miller.
If you lost money on investments with Doug Miller and believe that 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 against Triad Advisors, Inc., concerning Doug 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. If you lost money on investments with Doug 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.
Keywords: Douglas Scott Miller, Douglas Miller, Miller, Doug Miller, Triad Advisors, FINRA, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities