Investigation of Kenneth Miller and FTB Advisors, Inc.
Have you lost money with financial advisor Kenneth Miller of Greenville, Tennessee? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kenneth Lynn Miller. FINRA barred Miller from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Miller regarding allegations that he converted or stole money from his clients.
Kenneth Miller was a financial advisor and registered representative of FTB Advisors, Inc. (also known as First Tennessee Brokerage) from April 2009 to March 2016. He worked at branch offices in Greenville and Mosheim, Tennessee.
Brokerage firms like FTB Advisors and First Tennessee Brokerage have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Tennessee. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.
Click to view: Miller FINRA AWC (1)
Click to view: Miller BrokerCheck 3.31.16
HAVE YOU LOST MONEY WITH KENNETH MILLER OR FTB ADVISORS?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
Denver Office: (720) 599-3505
Seattle Office: (206) 795-5798