Public records published by the Financial Industry Regulatory Authority (FINRA) on June 28, 2016 indicate that former California-based Growth Capital Services broker Daniel Miller has been sanctioned by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Miller (CRD# 5551362).
Daniel Miller has spent one year in the securities industry and was most recently registered with Growth Capital Services in San Francisco, California (2013-2014). He has no previous registrations and is currently not registered with any state or firm.
According to his BrokerCheck report, Daniel Miller has received one regulatory sanction.
In May 2016, FINRA sanctioned Daniel Miller following allegations he “participated in undisclosed private securities transactions involving individuals who collectively invested approximately $560,000 in an outside investment.” FINRA alleged that Mr. Miller did not make contact with the individuals involved with these investments “in the course of his employment with his member firm,” and additionally did not provide his member firm, Growth Capital Services, with written notice prior to his engagement in the private securities transactions. The individuals involved allegedly invested roughly $560,000 in the outside investment, and Mr. Miller’s activities constituted a violation of NASD Rule 3040 and FINRA Rule 2010. He has signed a letter of Acceptance, Waiver and Consent (No. 2015044394701) consenting to FINRA’s issuance of a six-month suspension from the securities industry as well as a fine of $5,000.
If you or someone you know has complaints regarding Daniel Miller, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on a contingency basis: we only receive payment if and when you recover money. By law you may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.