Richard Ray Miller (also known as Rick Miller), of Shelton, Connecticut, a stockbroker registered with Ameriprise Financial Services, was the subject of a customer initiated investment related complaint that was settled on March 13, 2024, to resolve allegations that Miller sold direct investments, over-the-counter equities, and stocks from the customer’s Ameriprise One account without authorization during the time that Miller was associated with Ameriprise Financial Services.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Miller was also referenced in a customer initiated investment related complaint filed on August 13, 2001, in which the customer requested $17,328.87 in damages based upon allegations that Miller made unsuitable recommendations in mutual funds when Miller was associated with American Express Financial Advisors. This complaint was denied.
On December 5, 2002, another customer filed an investment related complaint involving Miller’s conduct in which the customer requested $12,554.52 in damages based upon allegations that Miller provided unsuitable advice to the customer about fixed annuities and strategic portfolio services. The securities broker dealer denied this complaint.
Miller has been associated with Ameriprise Financial Services LLC in Shelton, Connecticut since September 21, 1994.
