Advisor Alert: Our Attorneys Are Investigating Lawrence Leslie Miller Jr. For Investment Fraud
Did You Lose Money Because of Lawrence Miller Jr.?
Filed: November 2, 2023
Lawrence Miller has been the subject of one (1) regulatory event, two (2) termination events, and one (1) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Lawrence Leslie Miller Jr..
Who Is Lawrence Leslie Miller Jr.?
- Advisor Name: Lawrence Leslie Miller Jr.
- Aliases: Lawrence L Miller
- CRD: 1578485
- Location: Plantation, Florida
- Current Employer: No Longer Allowed to Practice in the Securities Industry
- Previous Firms: Summit Brokerage Services, Inc., LPL Financial LLC, and Medallion Investment Services, Inc.
- Number of Known Customer Complaints: 1
- Number of Known Regulatory Events: 1
- Number of Known Termination Events: 2
- Can Lawrence Miller Jr. Be Sued: Yes, in Private Arbitration
- Can Lawrence Miller Jr.’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $197,000
- Highest Settlement: Unknown
If you have suffered investment losses by Lawrence Miller Jr., we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud 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 1-800-950-6553.
Customer Complaints Filed Against Lawrence Miller Jr. For Broker Misconduct
As of this publication date, Lawrence Miller Jr. has been the subject of 1 regulatory event, 2 termination events, and 1 customer dispute. Let’s review them below.
In February 2016, FINRA initiated a regulatory action against or in reference to Lawrence Miller Jr. Without admitting or denying the findings, Miller consented to the sanction and to the entry of findings that he refused to provide on-the-record testimony as requested by FINRA during the course of an investigation into allegations that he arranged for an unauthorized person to access his member firm’s client account information via the firm’s online database.
In October 2015, Summit Brokerage Services, Inc. terminated Lawrence Miller Jr. for preparing a non-genuine document (IRS Form 1040, page 1) in response to a request for customer identification documents.
In June 2015, LPL Financial LLC terminated Lawrence Miller Jr. for providing access to LPL systems to an unauthorized user.
In June 2004, a NASD arbitration was filed against or in reference to Lawrence Miller Jr. by a customer of Medallion Investment Services, Inc. alleging various improprieties in the investment and tax advice she was allegedly given during June 2000 to September 2003. Per the customer, she lost over $197,000 because of Mr. Miller Jr.’s actions. An arbitration panel found that Lawrence Miller Jr. was negligent and awarded $131,441 in favor of the customer.
How To File A Claim Against Lawrence Miller Jr. (previously with Summit Brokerage Services, Inc., LPL Financial LLC, and Medallion Investment Services, Inc.) To Get Your Money Back.
If you have questions about Lawrence Miller Jr., Summit Brokerage Services, Inc., LPL Financial LLC, Medallion Investment Services, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.