Daniel S. Miller—Undisclosed Private Securities Transactions
Daniel 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 Joe Peiffer 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 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 Joe Peiffer 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 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 Wolf, Joe Peiffer or James Booker, for a free no-obligation evaluation of their recovery options, at 504-523-2434.