Corey Miller Allegedly Recommended Unsuitable Investments

Corey Miller (CRD #: 5597081), a broker registered with MML Investors Services, allegedly fave unsuitable investment recommendations, according to his BrokerCheck record, accessed on November 30, 2022. If you want to learn more about his conduct as a broker, read on.

Investor Dispute

On October 2, 2022, an investor alleged that Corey Miller made unsuitable investment recommendations, including a high-risk equity allocation. This dispute was denied by the firm.

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

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take into account investors’ financial goals when recommending investments. Brokers must consult the information in an investor’s profile, such as their risk tolerance, age, and tax status when making recommendations.

Investors who rely on brokers for investment recommendations can potentially recoup their losses by pursuing FINRA arbitration.

Background Information

Corey Miller has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination

Corey Miller is a registered broker in 25 states and a registered investment adviser in New York and Texas.

He has also worked for the following firms:

• MSI Financial Services (CRD#:14251)
• Buckman, Buckman & Reid (CRD#:23407)
• Brookstone Securities (CRD#:13366)
• Mercer Capital (CRD#:104012)
• John Thomas Financial (CRD#:40982)
• J.P. Turner & Company (CRD#:43177)

Kurta Law Can Help

If you worked with Corey Miller 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.