Daniel S. Miller—Undisclosed Private Securities Transactions

investment fraud attorneysDaniel S. Miller Allegedly Participated in Undisclosed Private Securities Transactions Involving Four Individuals that Invested Approximately $560,000 in a Collective Outside Investment

Daniel S. Miller, from April 2014 through July 2014, allegedly participated in undisclosed private securities transactions involving four individuals who collectively invested approximately $560,000 in an outside investment, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.

On April 19, 2013 Miller became associated with Growth Capital Services, Inc. on April 30, 2013 and became registered with FINRA through Growth Capital as a General Securities Representative, and remained associated with Growth Capital through September 3, 2014, the AWC notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Daniel S. Miller’s alleged undisclosed private securities transactions.

Daniel S. Miller Suspended and Fined $5,000 by FINRA for Allegedly Participating in an Undisclosed Private Securities Transaction Two Affiliated Companies Involved in Crowdfunding of Real Estate Projects

Daniel S. Miller, while associated with his broker-dealer Growth Capital, allegedly disclosed that he was engaged in outside business activities involving two affiliated companies involved in crowdfunding of real estate projects, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

The crowdfunded companies include Rise Companies Corp and Rise Securities LLC, the AWC notes.

One should also note that, according to the AWC, Daniel S. Miller neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged undisclosed private securities transactions and are currently investigating Daniel S. Miller’s undisclosed private securities transactions. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Daniel S. Miller’s undisclosed private securities transactions may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1123 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.