What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: September 9, 2015

Did you lose money with Derek Lee Miller, formerly of Securities America, Inc.? Stoltmann Law Offices is investigating Miller after he was fired from Securities America for failing to follow firm policies and procedures concerning unit investment trusts or UITs. UITs are investment companies that offer a fixed, unmanaged portfolio, generally of stocks and bonds, as redeemable “units” to investors for a specific period of time. It is designed to provide capital appreciation and/or dividend income.

He was registered with A.G. Edwards & Sons in St. Louis, Missouri from March 2004 to April 2005, Merrill Lynch in San Diego, California from April 2005 until April 2008, Wells Fargo Advisors in San Diego from April 2008 until June 2010, Cambridge Investment Research in Santa Monica from June 2010 until March 2013 and Securities America in Redondo Beach, California from March 2013 until October 2014. He is not licensed within the industry and has been permanently barred.

If you lost money with Derek Lee Miller, please call our securities law firm in Chicago at 312-332-4200 to speak with an attorney. You may be able to bring a claim against Miller’s former firm, Securities America, for failing to supervise him while he was employed there. The call is free with no obligation.

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