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August Miele Named in Investor Dispute

August Miele (CRD #: 2034696), a broker registered with Santander Securities, was recently involved in an investor dispute, according to his BrokerCheck record, accessed on October 9, 2022. Keep reading if you want to know more about August Miele’s conduct as a broker.

Investor Dispute

On July 19, 2022, an investor named August Miele in allegations of poor performance in his investment account and poor service. This dispute was denied by the firm.

However, investors should know that firms can deny disputes without an external review. Investors can still seek out FINRA arbitration after a denial and potentially recover their losses.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Poor service could violate FINRA Rule 2010. 

Background Information

August Miele has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 65 – Uniform Investment Adviser Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

August Miele is a registered broker in 16 states and a registered investment adviser in New Jersey and New York.

He has also worked for the following firms:

  • National Asset Management (CRD#:115927)
  • National Securities Corporation (CRD#:7569)
  • Chase Investment Services (CRD#:25574)
  • Pointe Capital (CRD#:112097)
  • Saloman Grey Financial (CRD #: 43413) 
  • Joseph Gunnar & Company (CRD#: 24795)
  • J.W. Barclay & Company (CRD#: 23350)
  • Barington Capital Group (CRD#: 29383)
  • M.S. Farrell & Company (CRD#: 24232)
  • The Boston Group (CRD#: 37652)
  • Lew Lieberbaum & Company (CRD#: 17341)
  • Barington Capital Group (CRD#: 29383)
  • Allied Capital (CRD#: 25975)
  • Advanced Equity Group (CRD#: 13873)
  • GKN Securities (CRD#: 19415)

Kurta Law Can Help

If you worked with August Miele and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.