Spencer Marc Miller, of Westlake Village, California, a stockbroker registered with Merrill Lynch Pierce Fenner Smith Incorporated, was the subject of a customer initiated investment related complaint filed on December 14, 2023, in which the customer requested compensatory damages based upon allegations that Miller made recommendations that were not in the customer’s best interest in connection with the sale of private securities from October 2018 to May 2023, when Miller was associated with Merrill Lynch Pierce Fenner Smith Incorporated. The securities broker dealer denied this complaint.
This is not the first time that Miller has been referenced in a customer initiated investment related dispute concerning Miller’s conduct in the securities industry. FINRA Public Disclosure shows that Miller is also referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensatory damages based upon allegations that Miller made unsuitable recommendations in private placements during the period that Miller was associated with Merrill Lynch Pierce Fenner Smith Incorporated. FINRA Arbitration No. 23-01822 (July 25, 2023).
Miller is also referenced in a customer initiated investment related complaint filed on December 7, 2023, in which the customer requested compensatory damages based upon allegations that Miller misappropriated funds from the customer. The securities broker dealer denied this complaint.
Miller has been associated with Merrill Lynch Pierce Fenner Smith Incorporated in Westlake Village, California as a stockbroker since January 14, 2014, and as an investment advisor representative since February 3, 2014.
