Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 25, 2017 indicate that former Tennessee-based FTB Advisors broker Kenneth Miller has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Miller (CRD# 5659109).
Kenneth Miller has spent six years in the securities industry and was most recently registered with FTB Advisors in Greeneville, Tennessee (2009-2016). He has no previous registrations. He has passed two securities industry examinations: Series 6 (Investment Company Products/Variable Contracts Representative Examination) and Series 63 (Uniform Securities Agent State Law Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, Kenneth Miller has been sanctioned by FINRA and was discharged from his former employer in connection to alleged rule violations.
In March 2016 FINRA sanctioned him following allegations he “provide documents and information requested by FINRA during the course of an investigation into allegations that he misappropriated the funds of retail bank customers.” He was barred from acting as a broker or otherwise associating with firms that sell securities to the public.
In February 2016 he was terminated from his position at FTB Advisors in connection to the following allegations listed on his disclosure form: “Was terminated for misappropriation of customer funds for his own use. He was a dual employee of First Tennessee Bank/FTB Advisors and diverted bank funds for his own use. The amount he diverted was $950,000.00 and this took place from 11/23/2015 – 02/09/2016.”
If you have complaints regarding Kenneth Miller, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. 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.