Frederick Michael Miller of Flint Michigan a stockbroker formerly registered with Ameriprise Financial Services has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Miller failed to report to FINRA whether he complied with a settlement agreement or an arbitration award. Case No. 2018060128701 (Oct. 24, 2018).
FINRA Public Disclosure additionally reveals that on November 16, 2016, Miller was discharged by Ameriprise Financial based upon allegations that Miller committed violations of the firm’s policy in regard to his trading and financial planning activities.
Moreover, Miller is the subject of a customer initiated investment related written complaint where the customer sought at least $5,000.00 in damages supported by accusations that while associated with the firm, Miller effected an unauthorized withdrawal of funds from the customer’s variable annuity account, causing the customer to incur tax consequences and fees.
