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Wayne Miller: Named in a Pending FINRA Investigation Following Allegations of Rule Violations

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Wayne Miller

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2017 indicate that Arizona-based Accelerated Capital Group broker/adviser Wayne Miller has been named in a FINRA investigation and has received several resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Miller (CRD# 4813645).

Wayne Miller has spent eight years in the securities industry and has been registered with Accelerated Capital Group in Scottsdale, Arizona since 2010. Previous registrations include Longview Financial Group in Scottsdale, Arizona; USAA Investment Management Company in San Antonio, Texas; and Woodbury Financial Services in Oakdale, Minnesota. He is a registered broker and investment adviser with five US states: Arizona, California, Colorado, Nevada and Texas.

According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint, and has been named in a pending FINRA investigation.

In December 2016 he was named in a FINRA investigation alleging “Potential violations of FINRA Rule 2010 (Standards of Commercial Honor and Principals of Trade), NASD Rules 3010(a) and Rule 3010(b)and 3010(e) (Supervision) (for conduct before December 1, 2014) and FINRA Rules 3110(a) and 3110(b) (Supervision).” The investigation remains pending.

In 2016 a customer alleged Wayne Miller, while employed at Accelerated Capital Group, acted negligently, breached his fiduciary duty, and failed to supervise in connection to investments in promissory notes issued by Aequitas Capital Management and its affiliates. The complaint settled “without any payment from or liability on the part of Mr. Miller” for $5,000.

In 2016 a customer named Wayne Miller, in his capacity as control person at Accelerated Capital Group, in a complaint alleging breach of fiduciary duty and violations of securities laws by another registered representative. The complaint settled in May 2017 for $110,000.

In 2016 a customer named Wayne Miller, in his capacity as control person at Accelerated Capital Group, in a complaint alleging unauthorized and excessive trading by another representative. The complaint settled for $165,000.

If you or someone you know has lost money investing with Wayne Miller, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.