Kenper Miller Allegedly Executed Unsuitable Trading Strategy

Kenper Miller (CRD #: 840784), a broker registered with Morgan Stanley, allegedly executed an unsuitable trading strategy in a client’s account, according to his BrokerCheck record, accessed on December 12, 2024. If you want to know more about his alleged conduct as a broker, keep reading.

Investor Dispute

On November 4, 2024, an investor alleged that Kenper Miller executed an unsuitable options trading strategy in the client’s managed account from 2018-2020. This dispute is currently pending.

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 investing experience, risk tolerance, and tax status.

Investors who have lost money through unsuitable investment recommendations may be able to recoup their losses through FINRA arbitration.

Background Information

Kenper Miller has passed the following exams:

• Securities Industry Essentials Examination – SIE
• Futures Managed Funds Examination – Series 31
• Interest Rate Options Examination – Series 5
• General Securities Representative Examination – Series 7
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

Kenper Miller is a registered broker in 27 states and the District of Columbia. He is also a registered investment adviser in New York and Texas.

He has also worked for the following firms:

• Citigroup Global Markets (CRD#:7059)
• Lehman Brothers (CRD#:7506)
• Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
• Paine, Webber, Jackson & Curtis (CRD#:8174)
• Paine, Webber, Jackson & Curtis (CRD#:640)
• L. F. Rothschild, Unterberg, Towbin (CRD#:501)

Kurta Law Can Help

If you worked with Kenper 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 that 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.