fired employee with box

Joey Dale Miller, of Lake Oswego, Oregon, a stockbroker registered with Arete Wealth Management LLC, has been discharged by the securities broker dealer on October 11, 2023, based upon allegations that Miller was not forthcoming during an internal investigation.

Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Miller was also referenced in a customer initiated investment related civil action that was settled for $275,000.00 in damages based upon alleged losses in commodity options during the time that Miller was associated with Traders Edge. Civil Action No. 4:12-CV-01943 (June 23, 2014).

Miller was associated with Arete Wealth Advisors LLC in New Braunfels, Texas from October 27, 2014, to November 2, 2023. He has been associated with DAI Securities LLC in New Braunfels, Texas as a stockbroker since October 30, 2023, and with DAI Wealth LLC in New Braunfels, Texas as an investment advisor representative since November 8, 2023.