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Benjamin Miller Embroiled in a $1 Million Dispute

Mar 11, 2022 Misrepresentation

Benjamin Miller (CRD #:2755887), a broker and investment adviser registered with UBS Financial Services, is involved in an investor dispute, according to his BrokerCheck record, accessed on February 25, 2022.

According to the allegations filed on November 30, 2021, an investor alleged that Benjamin Miller misrepresented investment fees and overcharged him for securities transactions. The investor is seeking $1,213,760一the dispute is still pending.

FINRA Rule 2020

Misrepresentations and omissions concerning material facts deprive investors of the information they need to assess risks associated with a particular investment.

FINRA Rule 2020 prohibits brokerage firms and stockbrokers from making material misrepresentations or inducing people into buying securities with false statements about their potential benefits. This unethical conduct also violates FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor. 

Losses that can be attributed to a stockbroker’s material misrepresentations of facts may result in a viable securities arbitration claim for damages.

Background Information

Benjamin Miller has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

Benjamin Miller is a registered broker in 30 States and a registered investment adviser in both Illinois and Texas.

Besides UBS Financial Services, Benjamin Miller has worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691).

Kurta Law Can Help

If you worked with Benjamin Miller and you have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors 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.