The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Louis Mark Miller. Louis Mark Miller was a New York-based securities broker. He worked in the securities industry for nineteen years. During his career, he was registered with three different securities firms. He is no longer working as a registered securities broker in any fashion.

His Registrations

  • Prudential Securities Incorporation (1998-2003)
  • Wells Fargo (2003-2013)
  • LPL Financial (2013-2017)

The Allegations

According to his publicly available FINRA BrokerCheck report, Louis Mark Miller was officially sanctioned by FINRA in July 2019. The findings in this matter state that he exercised discretion in customer accounts without receiving the proper written authorization from the account holders. Miller’s member firm had also not deemed the accounts in question as suitable for discretionary trading. Due to these alleged actions, Louis Mark Miller was barred by FINRA from acting as a securities broker in any fashion.

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 Louis Mark Miller, please contact Oakes & Fosher for a free and private consultation. We work on a contingency basis, which means there are no fees charged unless we collect for you.