Last Updated: October 2024 (Malvern, Pennsylvania)
Aviva Miller Financial Advisor Investigation
National securities fraud lawyers Patil Law P.C. are investigating broker Aviva Miller (CRD #7075785), who is currently employed by Vanguard Advisers, Inc. in Malvern, Pennsylvania. Miller has faced a customer dispute involving allegations of failing to follow client instructions, resulting in significant losses. Investors should be aware of these concerns before deciding to work with this broker.
Aviva Miller (CRD #7075785) is a financial advisor at Vanguard Advisers, Inc. in Malvern, Pennsylvania, with experience since 2019. However, her career has been marked by a notable customer dispute involving allegations of failing to follow client instructions, resulting in significant losses. Below, we provide more details on this incident and other relevant information for potential investors.
Critical insights about Malvern, PA stockbroker Aviva Miller:
- Advisor Name: Aviva Miller
- CRD: 7075785
- Location: Malvern, Pennsylvania
- Current Employer: Vanguard Advisers, Inc.
- Classification: Stockbroker + Financial Advisor
- Primary Location: Malvern, PA
- Can Aviva Miller be sued in private FINRA arbitration: Yes
- Has Aviva Miller been barred by FINRA: No
- Pending Customer Dispute: No
If you have suffered investment losses due to Aviva Miller, we encourage you to exercise your rights and seek experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law P.C. via the secure online form or call the firm directly toll-free at (800) 950-6553.
Lost Money With Stockbroker Aviva Miller?
Aviva Miller has been involved in a customer dispute related to the mishandling of client instructions, which allegedly resulted in significant financial losses.
- Customer Dispute (2022): In October 2022, a client alleged that Miller failed to follow instructions to liquidate assets, resulting in over $140,000 in losses. The dispute was closed with no action, as the firm found no indication of wrongdoing, stating that Miller acted in accordance with the firm’s policies and procedures.
There are no pending disputes or other disclosures currently associated with Aviva Miller.
Allegations of Broker Misconduct Against Aviva Miller
The following allegations have been made against Aviva Miller:
- Failure to Follow Client Instructions: In 2022, Miller was accused of not executing a client’s instructions to liquidate assets in a timely manner, leading to losses during market volatility.
- Mishandling of Assets: The client claimed that the failure to act resulted in losses exceeding $140,000 between January 2022 and October 2022. The firm’s investigation found that Miller followed the firm’s procedures, and the case was closed without further action.
These allegations highlight potential concerns related to the handling of client instructions, though the firm cleared Miller of any wrongdoing.
Broker Experience Summary
Aviva Miller (CRD #7075785) is currently registered as a financial advisor with Vanguard Advisers, Inc., based in Malvern, Pennsylvania. She has been active in the securities industry since 2019 and has passed the Series 65 – Uniform Investment Adviser Law Examination, allowing her to provide investment advisory services. Miller has held only one registration with Vanguard Advisers during her career and has not worked for any other firms to date. While relatively new to the industry, Miller has gained experience advising clients on financial planning and portfolio management.
Miller has been involved in managing a range of investment portfolios, though her career has been affected by customer complaints related to the handling of client instructions. Despite these challenges, Miller continues to be registered and active with Vanguard Advisers.
Negative Disclosures and Customer Disputes
Aviva Miller has faced one customer dispute involving alleged mishandling of client instructions:
- Customer Dispute (2022): In October 2022, a client alleged that Miller failed to follow instructions to liquidate certain assets, resulting in losses of $140,000 during a volatile market period. The case was closed with no action taken by the firm, as it concluded that Miller followed the firm’s policies and procedures appropriately.
There are no other reported customer disputes, regulatory actions, or financial disclosures such as tax liens associated with Miller at this time.
Allegations and Accusations
Aviva Miller has been involved in the following allegation during her career:
- Failure to Follow Client Instructions: In 2022, a customer alleged that Miller did not execute an instruction to liquidate assets in a timely manner, leading to significant financial losses. The firm’s internal investigation concluded that Miller acted in accordance with its procedures, and the case was closed with no disciplinary action.
There are no other termination records or regulatory actions currently associated with Aviva Miller.
Patil Law P.C. Will Help You Recover Your Investment Losses
If you have suffered investment losses in an account handled by Aviva Miller or have a question about the performance of your account, please contact Attorney Patil online or (800) 950-6553 for a free initial consultation.
Our cases are handled on a contingency basis. We don’t get paid unless we win for you.
