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Philip Miceli is the Subject of an IRA Withdrawal Dispute

Philip Miceli (CRD #: 4572957), a broker registered with MML Investors Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on March 15, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Dispute

On January 2, 2024, an investor alleged that Philip Miceli provided her ill advice regarding a withdrawal from her inherited IRA. She alleges that this withdrawal means she will owe a “tremendous” amount in taxes. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Providing poor advice violates this rule. 

Background Information 

Philip Miceli 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 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 14 states and is a registered investment adviser in Missouri and Texas. 

Kurta Law Can Help 

If you have worked with Philip Miceli and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com 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 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. Do not let securities fraud go unchecked. Start your recovery process today.

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