Jeffrey Adam Miller of Greenwich, Connecticut, a stockbroker registered with UBS Financial Services Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $75,000.00 in damages based upon allegations that Miller made unsuitable recommendations of gold and silver during the time that Miller was associated with UBS Financial Services Inc. Financial Industry Regulatory Authority (FINRA) Arbitration No. 21-01474 (January 13, 2023).
FINRA Public Disclosure shows that Miller is referenced in three other customer initiated investment related disputes concerning Miller’s conduct while associated with securities broker dealers. On January 26, 2009, a customer filed an investment related complaint involving Miller’s conduct in which the customer requested $50,000.00 in damages based upon allegations that Miller made unsuitable recommendations of common stocks and preferred stocks during the time that Miller was associated with Morgan Stanley.
On November 24, 2015, a customer initiated investment related complaint involving Miller’s conduct was settled for $10,000.00 in damages based upon allegations that Miller failed to follow instructions concerning over the counter equities during the time that Miller was associated with UBS Financial Services Inc.
Miller was also the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer was awarded $209,775.00 in compensatory damages because Miller and Morgan Stanley were held liable for sales practice violations. FINRA Arbitration No. 16-01538 (November 22, 2017). The Statement of Claim alleged that Miller breached his fiduciary duties to the customer, breached a contract, was negligent, and made unsuitable recommendations of investments when Miller was associated with Morgan Stanley.
Miller has been registered with UBS Financial Services Inc. since November 1, 2013.
