The law firm of Oakes & Fosher is presently investigating the alleged misconduct of Christopher Miller. According to his publicly available FINRA BrokerCheck report, Christopher Miller has been the subject of multiple customer disputes over the course of his career.

Christopher Miller is a California based securities broker. He has worked in the securities industry for eighteen years. During his career, he has been registered with eleven different securities firms.

His Registrations 

  • Morgan Stanley DW (2000-2001)
  • NNN Capital Corp. (2003)
  • MCL Financial Group (2004-2007)
  • Midpoint Financial Services (2007-2008)
  • Girard Securities (2008-2009)
  • Financial Advisers of America (2009)
  • Private Asset Group (2009-2010)
  • American Beacon Partners (2010-2011)
  • Allied Beacon Partners (2011-2012)
  • Sandlapper Securities (2012-2019)
  • Emerson Equity (2019-Present)

The Allegations 

  • In October 2019, a customer alleged that Christopher Miller violated multiple securities acts, recommended unsuitable investments, breached his fiduciary duty, violated the California corporations code, committed financial elder abuse, and committed common law fraud. This case is currently pending. The customer is seeking $104,500 in damages.
  • In February 2020, a customer alleged that Christopher Miller committed financial elder abuse. This case is currently pending. The customer is seeking $292,000 in damages.

What Does This Mean?

Less than scrupulous securities brokers may often target more vulnerable individuals when perpetrating their financial misdeeds. This includes the elderly population. These individuals often rely heavily on their securities broker to handle their accounts in a fashion suitable for them. Securities brokers like Christopher Miller may take advantage of this trust and use the opportunity to manage their elderly client’s account in a way that is beneficial to them (the broker) but detrimental to the customer. This is also known as financial elder abuse and is a real problem for many investors.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Christopher Miller, please contact Oakes & Fosher for a free and private consultation. Oakes & Fosher handles cases on a contingency basis, which means there are no fees charged unless we collect for you.