david harrison miller · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united...
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BrokerCheck Report
DAVID HARRISON MILLER
Section Title
Report Summary
Broker Qualifications
Registration and Employment History
Disclosure Events
CRD# 4648882
1
2 - 5
7 - 8
9
Page(s)
About BrokerCheck®
BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them.
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qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheckreports for brokerage firms include information on a firm’s profile, history, and operations, as well as many of thesame disclosure events mentioned above.
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· Where did this information come from?· The information contained in BrokerCheck comes from FINRA’s Central Registration Depository, or
CRD® and is a combination of: o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers and
brokerage firms to submit as part of the registration and licensing process, and o information that regulators report regarding disciplinary actions or allegations against firms or brokers.
· How current is this information?· Generally, active brokerage firms and brokers are required to update their professional and disciplinary
information in CRD within 30 days. Under most circumstances, information reported by brokerage firms, brokersand regulators is available in BrokerCheck the next business day.
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DAVID H. MILLER
CRD# 4648882
Currently employed by and registered with thefollowing Firm(s):
PEACHCAP TAX & ADVISORY, LLC550 PHARR RD.SUITE 700ATLANTA, GA 30305CRD# 158729Registered with this firm since: 08/03/2011
IA
PEACHCAP SECURITIES, INC.550 Pharr Rd.Suite 700ATLANTA, GA 30305CRD# 25590Registered with this firm since: 10/03/2015
B
Report Summary for this Broker
This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.
Disclosure Events
All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.
Are there events disclosed about this broker? Yes
The following types of disclosures have beenreported:
Type Count
Customer Dispute 15
Broker Qualifications
This broker is registered with:
1 Self-Regulatory Organization
23 U.S. states and territories
This broker has passed:
2 Principal/Supervisory Exams
2 General Industry/Product Exams
1 State Securities Law Exam
Registration History
This broker was previously registered with thefollowing securities firm(s):
INVESTACORP ADVISORY SERVICES INCCRD# 109011MIAMI, FL09/2008 - 10/2015
IA
INVESTACORP, INC.CRD# 7684ATLANTA, GA08/2008 - 10/2015
B
AMERIPRISE FINANCIAL SERVICES, INC.CRD# 6363MINNEAPOLIS, MN06/2003 - 07/2008
IA
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Broker Qualifications
Registrations
This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currently registered and licensed with, thecategory of each license, and the date on which it became effective. This section also provides, for every brokerage firm with which the broker iscurrently employed, the address of each branch where the broker works.
This individual is currently registered with 1 SRO and is licensed in 23 U.S. states and territories through his or her employer.
Employment 1 of 2Firm Name:
Main Office Address:
Firm CRD#:
PEACHCAP TAX & ADVISORY, LLC
158729
550 PHARR RD.SUITE 700ATLANTA, GA 30305
BU.S. State/ Territory Category Status Date
IA Georgia Investment Adviser Representative APPROVED 08/03/2011
IA Texas Investment Adviser Representative APPROVED 08/11/2017
Branch Office Locations
This individual does not have any registered Branch Office where the individual is located.
Employment 2 of 2Firm Name:
Main Office Address:
Firm CRD#:
PEACHCAP SECURITIES, INC.
25590
550 PHARR RD,SUITE 700ATLANTA, GA 30305
SRO Category Status Date
B FINRA Financial and Operations Principal APPROVED 10/03/2015
B FINRA General Securities Principal APPROVED 10/03/2015
B FINRA General Securities Representative APPROVED 10/03/2015
B FINRA Investment Banking Representative APPROVED 02/13/2017
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Broker Qualifications
Employment 2 of 2, continuedSRO Category Status Date
B FINRA Operations Professional APPROVED 02/13/2017
B FINRA Investment Banking Principal APPROVED 10/01/2018
BU.S. State/ Territory Category Status Date
B Arizona Agent APPROVED 11/25/2015
B California Agent APPROVED 10/03/2015
B Connecticut Agent APPROVED 10/16/2015
B Florida Agent APPROVED 10/03/2015
B Georgia Agent APPROVED 10/03/2015
B Kentucky Agent APPROVED 11/25/2015
B Louisiana Agent APPROVED 11/25/2015
B Maryland Agent APPROVED 10/03/2015
B Missouri Agent APPROVED 04/10/2017
B Montana Agent APPROVED 04/10/2017
B Nevada Agent APPROVED 07/28/2016
B New York Agent APPROVED 11/25/2015
B North Carolina Agent APPROVED 11/25/2015
B Ohio Agent APPROVED 11/25/2015
B Pennsylvania Agent APPROVED 10/16/2015
B Puerto Rico Agent APPROVED 04/04/2017
B South Carolina Agent APPROVED 11/25/2015
B South Dakota Agent APPROVED 08/31/2016
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Broker Qualifications
Employment 2 of 2, continued
BU.S. State/ Territory Category Status Date
B Tennessee Agent APPROVED 10/03/2015
B Texas Agent APPROVED 11/25/2015
B Virginia Agent APPROVED 11/25/2015
B Washington Agent APPROVED 11/25/2015
B Wyoming Agent APPROVED 11/25/2015
Branch Office Locations
PEACHCAP SECURITIES, INC.550 Pharr Rd.Suite 700ATLANTA, GA 30305
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Broker Qualifications
Industry Exams this Broker has Passed
This individual has passed 2 principal/supervisory exams, 2 general industry/product exams, and 1 state securities law exam.
This section includes all securities industry exams that the broker has passed. Under limited circumstances, a broker may attain a registrationafter receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker hasreceived are not included below.
Exam Category Date
Principal/Supervisory Exams
Financial and Operations Principal Examination 03/16/2015Series 27B
General Securities Principal Examination 07/27/2005Series 24B
Exam Category Date
General Industry/Product Exams
Securities Industry Essentials Examination 10/01/2018SIEB
General Securities Representative Examination 06/03/2003Series 7B
Exam Category Date
State Securities Law Exams
Uniform Combined State Law Examination 06/11/2003Series 66B IA
Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found atwww.finra.org/brokerqualifications/registeredrep/.
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Broker Qualifications
Professional Designations
This section details that the representative has reported 0 professional designation(s).
No information reported.
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Registration and Employment History
Registration History
Registration Dates Firm Name CRD# Branch Location
The broker previously was registered with the following firms:
IA 09/2008 - 10/2015 INVESTACORP ADVISORY SERVICES INC 109011 ATLANTA, GA
B 08/2008 - 10/2015 INVESTACORP, INC. 7684 ATLANTA, GA
IA 06/2003 - 07/2008 AMERIPRISE FINANCIAL SERVICES, INC. 6363 ATLANTA, GA
B 06/2003 - 07/2008 AMERIPRISE FINANCIAL SERVICES, INC. 6363 ATLANTA, GA
B 06/2003 - 07/2006 IDS LIFE INSURANCE COMPANY 6321 MINNEAPOLIS, MN
Employment History
Employment Employer Name Investment RelatedPosition Employer Location
This section provides up to 10 years of an individual broker's employment history as reported by the individual broker on the most recently filedForm U4.
Please note that the broker is required to provide this information only while registered with FINRA or a national securities exchangeand the information is not updated via Form U4 after the broker ceases to be registered. Therefore, an employment end date of"Present" may not reflect the broker's current employment status.
07/2011 - Present Peachtree Capital Tax and Advisory, LLC MANAGING MEMBER Y ATLANTA, GA, United States
08/2008 - Present MILLER WEALTH FINANCIAL, LLC OWNER N ATLANTA, GA, United States
08/2008 - 10/2015 INVESTACORP INC REGISTEREDREPRESENTATIVE
Y MIAMI LAKES, FL, UnitedStates
09/2008 - 07/2011 INVESTACORP ADVISORY SERVICES INVESTMENTADVISERREPRESENTATIVE
Y MIAMI LAKES, FL, UnitedStates
Other Business Activities
This section includes information, if any, as provided by the broker regarding other business activities the broker is currently engaged in either asa proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that isexclusively charitable, civic, religious or fraternal and is recognized as tax exempt.
1. PeachCap Inc, 550 Pharr Rd, Ste 700, Atlanta GA, Nature of business: holding company, started 1/1/2018, 35+ hrs/month during securitiestrading hours, duties: operations. 2. PeachCap CPA's, LLC, 550 Pharr Rd, Ste 700, Atlanta, GA 30305. Nature of Business: Accounting Firm.Started May 2014. 2 hours/month during securities trading hours. Duties: management. Non investment related. 3. Miller Wealth Financial, LLC;2785 Eudora Trail, Duluth, GA 30097. Nature of Business: Investment related, firm for personal advisor practice. Started August 2008. 2hours/month during securities trading hours. Duties: Investment advising. 4. Author, Wealth Kryptonite, 2017, 0 hours per week. 5. BrookhavenProgress Fund, LLC, Investment Related,3060 Peachtree Rd., NW, Suite 1830, Atlanta, GA 30305, Private Offering, Managing member,1/22/2016, 2 - 20 hours per week. 6. Peachtree Capital and Management Services, LLC, -- Project Management and Management Co. for theBrookhaven Progress Fund, 2-5 hours per week
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Registration and Employment History
Other Business Activities, continued
1. PeachCap Inc, 550 Pharr Rd, Ste 700, Atlanta GA, Nature of business: holding company, started 1/1/2018, 35+ hrs/month during securitiestrading hours, duties: operations. 2. PeachCap CPA's, LLC, 550 Pharr Rd, Ste 700, Atlanta, GA 30305. Nature of Business: Accounting Firm.Started May 2014. 2 hours/month during securities trading hours. Duties: management. Non investment related. 3. Miller Wealth Financial, LLC;2785 Eudora Trail, Duluth, GA 30097. Nature of Business: Investment related, firm for personal advisor practice. Started August 2008. 2hours/month during securities trading hours. Duties: Investment advising. 4. Author, Wealth Kryptonite, 2017, 0 hours per week. 5. BrookhavenProgress Fund, LLC, Investment Related,3060 Peachtree Rd., NW, Suite 1830, Atlanta, GA 30305, Private Offering, Managing member,1/22/2016, 2 - 20 hours per week. 6. Peachtree Capital and Management Services, LLC, -- Project Management and Management Co. for theBrookhaven Progress Fund, 2-5 hours per week
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Disclosure Events
What you should know about reported disclosure events:
1. All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations,regulatory actions, employment terminations, bankruptcy filings, and criminal or civil judicial proceedings.
2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a broker is required to disclose a particular criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules or conduct governing the
industry and that the activity resulted in damages of at least $5,000. o
3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers, brokerage firms and
regulators. When more than one of these sources reports information for the same disclosure event, all versions of the event willappear in the BrokerCheck report. The different versions will be separated by a solid line with the reporting source labeled.
o4. There are different statuses and dispositions for disclosure events:
o A disclosure event may have a status of pending, on appeal, or final.§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently being appealed.§ A "final" event has been concluded and its resolution is not subject to change.
o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or (2) an administrative
panel in an action brought by a regulator that is contested by the party charged with some alleged wrongdoing.§ A "settled" matter generally involves an agreement by the parties to resolve the matter. Please note that brokers and
brokerage firms may choose to settle customer disputes or regulatory matters for business or other reasons.§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoing on the part of the
individual broker. Such matters generally involve customer disputes.
For your convenience, below is a matrix of the number and status of disclosure events involving this broker. Further informationregarding these events can be found in the subsequent pages of this report. You also may wish to contact the broker to obtain furtherinformation regarding these events.
Final On AppealPending
Customer Dispute 10 5 N/A
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Disclosure Event Details
When evaluating this information, please keep in mind that a discloure event may be pending or involve allegations that are contested and havenot been resolved or proven. The matter may, in the end, be withdrawn, dismissed, resolved in favor of the broker, or concluded through anegotiated settlement for certain business reasons (e.g., to maintain customer relationships or to limit the litigation costs associated with disputingthe allegations) with no admission or finding of wrongdoing.
This report provides the information exactly as it was reported to CRD and therefore some of the specific data fields contained in the report maybe blank if the information was not provided to CRD.
Customer Dispute - Settled
This type of disclosure event involves a consumer-initiated, investment-related complaint, arbitration proceeding or civil suit containing allegationsof sale practice violations against the broker that resulted in a monetary settlement to the customer.
Disclosure 1 of 4
Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Tax & Advisory, LLC & PeachCap Securities, Inc.
Customer was unhappy with the performance of his investment with an affiliatedfirm. Rep & Firm vigorously deny any liability to these claims and made a businessdecision to come to a settlement to avoid costs and distractions of litigatedproceedings. Activity occurred from 2016 to 2018.
Product Type: Direct Investment-DPP & LP Interests
Alleged Damages: $150,000.00
Date Complaint Received: 06/18/2019
Complaint Pending? No
Status:
Customer Complaint Information
Settled
Alleged Damages AmountExplanation (if amount notexact):
Claim is for more than $5,000, but could not determine the full amount.
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
No
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Status:
Status Date: 07/15/2019
Settlement Amount: $50,000.00
Individual ContributionAmount:
$0.00
Broker Statement PeachCap Securities Inc was a party to the settlement due to affiliated firmassociation. Settlement was paid by affiliated firm and not by PeachCap SecuritiesInc. Rep was not required to contribute to the settlement amount. Rep & Firm denyany liability to this claim and made a business decision to come to a settlement inorder to avoid costs and distraction of litigated proceedings.
Settled
Disclosure 2 of 4
i
Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Securities, Inc & PeachCap Tax & Advisory LLC
Customer was unhappy with the performance of their investment with an affiliatedfirm. Rep & Firm vigorously deny any liability to these claims and made a businessdecision to come to a settlement to avoid costs and distractions of litigatedproceedings.
Product Type: Direct Investment-DPP & LP InterestsReal Estate Security
Alleged Damages: $315,000.00
Date Complaint Received: 04/05/2019
Complaint Pending? No
Status:
Status Date:
Customer Complaint Information
Settled
Alleged Damages AmountExplanation (if amount notexact):
Claim was for more than $5,000, but full amount could not be determined.
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
No
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Status Date: 04/05/2019
Settlement Amount: $315,000.00
Individual ContributionAmount:
$0.00
Broker Statement PeachCap Securities Inc was a party to the settlement due to affiliated firmassociation. Settlement was paid by affiliated firm and not by PeachCap SecuritiesInc. Rep was not required to contribute to the settlement amount. Rep & Firm denyany liability to this claim and made a business decision to come to a settlement inorder to avoid costs and distraction of litigated proceedings.
Disclosure 3 of 4
i
Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Securities Inc & PeachCap Tax & Advisory
Customer was unhappy with investment performance. Firm and Rep vigorouslydeny liability to these claims.
Product Type: Direct Investment-DPP & LP Interests
Alleged Damages: $1,200,000.00
Date Complaint Received:
Customer Complaint Information
Alleged Damages AmountExplanation (if amount notexact):
Unable to determine total alleged damage amount, except that it is in excess of$5,000.
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA
Docket/Case #: 19-02045
Filing date ofarbitration/CFTC reparationor civil litigation:
08/08/2019
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Date Complaint Received: 08/08/2019
Complaint Pending? No
Status:
Status Date: 05/11/2020
Settlement Amount: $550,000.00
Individual ContributionAmount:
$0.00
Date Notice/Process Served: 05/11/2020
Arbitration Pending? No
Disposition: Settled
Disposition Date: 05/11/2020
Monetary CompensationAmount:
$550,000.00
Broker Statement Rep was not required to contribute to the settlement amount. Rep & Firm deny anyliability to this claim and made a business decision to come to a settlement in orderto avoid costs and distraction of litigated proceedings.
Arbitration Information
Individual ContributionAmount:
$0.00
Settled
Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):
FINRA
Docket/Case #: 19-02045
Disclosure 4 of 4
i
Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Securities Inc & PeachCap Tax & Advisory LLC
Customer was unhappy with the performance of his investment with an affiliatedfirm. Rep & Firm vigorously deny any liability to these claims and made a businessdecision to come to a settlement to avoid costs and distractions of litigatedproceedings.
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Product Type: Direct Investment-DPP & LP Interests
Alleged Damages: $0.00
Date Complaint Received: 12/17/2018
Complaint Pending? No
Status:
Status Date: 02/19/2019
Settlement Amount: $100,000.00
Individual ContributionAmount:
$0.00
Broker Statement PeachCap Securities Inc was a party to the settlement due to affiliated firmassociation. Settlement was paid by affiliated firm and not by PeachCap SecuritiesInc. Rep was not required to contribute to the settlement amount. Rep & Firm denyany liability to this claim and made a business decision to come to a settlement inorder to avoid costs and distraction of litigated proceedings.
Customer Complaint Information
Settled
Alleged Damages AmountExplanation (if amount notexact):
Could not determine total alleged damage amount, except that it is in excess of$5,000.
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
No
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Customer Dispute - Closed-No Action / Withdrawn / Dismissed / Denied
This type of disclosure event involves (1) a pending consumer-initiated, investment-related arbitration or civil suit that contains allegations of salespractice violations against the broker; or (2) a pending, consumer-initiated, investment-related written complaint containing allegations that thebroker engaged in, sales practice violations resulting in compensatory damages of at least $5,000, forgery, theft, or misappropriation, orconversion of funds or securities.
Disclosure 1 of 1
Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Securities, Inc. & PeachCap Tax & Advisory, LLC
Claimant was unhappy with the performance of their investment with an affiliatedfirm.
Product Type: Direct Investment-DPP & LP Interests
Alleged Damages: $187,125.00
Date Complaint Received: 12/26/2019
Complaint Pending? No
Status:
Status Date: 01/10/2020
Settlement Amount:
Individual ContributionAmount:
Broker Statement Rep & firm deny liability to this claim.
Customer Complaint Information
Denied
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
No
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Customer Dispute - Pending
This type of disclosure event involves (1) a pending consumer-initiated, investment-related arbitration or civil suit that contains allegations of salespractice violations against the broker; or (2) a pending, consumer-initiated, investment-related written complaint containing allegations that thebroker engaged in, sales practice violations resulting in compensatory damages of at least $5,000, forgery, theft, or misappropriation, orconversion of funds or securities.
Disclosure 1 of 10
Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Tax & Advisory, LLC & PeachCap Securities, Inc.
Claimant alleges multiple sales practice violations including unsuitable investmentsand misrepresentations and omissions.
Product Type: Other: Managed account.
Alleged Damages: $34,164.99
Date Complaint Received: 07/28/2020
Complaint Pending? Yes
Settlement Amount:
Individual ContributionAmount:
Customer Complaint Information
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA
Docket/Case #: 20-02276
Filing date ofarbitration/CFTC reparationor civil litigation:
07/07/2020
Disclosure 2 of 10
i
Reporting Source: Firm
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Employing firm whenactivities occurred which ledto the complaint:
Allegations:
Investacorp, Inc. and Peachcap Securities, Inc.
Claimants allege an unsuitable investment strategy involving alternativeinvestments beginning in 2011.
Product Type: Direct Investment-DPP & LP InterestsReal Estate Security
Alleged Damages: $0.00
Date Complaint Received: 07/14/2020
Complaint Pending? Yes
Settlement Amount:
Individual ContributionAmount:
Customer Complaint Information
Alleged Damages AmountExplanation (if amount notexact):
Claimants seek unspecified damages.
Is this an oral complaint? No
Is this a written complaint? No
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA
Docket/Case #: 20-02206
Filing date ofarbitration/CFTC reparationor civil litigation:
07/13/2020
iReporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
Investacorp, Inc. and PeachCap Securities, Inc.
Claimants allege an unsuitable investment strategy beginning in 2011.
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Product Type: Direct Investment-DPP & LP InterestsReal Estate Security
Alleged Damages: $0.00
Date Complaint Received: 07/20/2020
Complaint Pending? Yes
Settlement Amount:
Individual ContributionAmount:
Customer Complaint Information
Alleged Damages AmountExplanation (if amount notexact):
Claimants seek unspecified damages.
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA
Docket/Case #: 20-02206
Filing date ofarbitration/CFTC reparationor civil litigation:
07/13/2020
Disclosure 3 of 10
i
Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Securities, Inc. & PeachCap Tax & Advisory LLC
Claimant alleges sales practice violations including unsuitable investments,misrepresentations and omissions, and unauthorized trading.
Product Type: Other: managed accounts
Alleged Damages: $48,496.70
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Date Notice/Process Served: 05/18/2020
Arbitration Pending? Yes
Broker Statement Mr. Miller was not the representative of record on claimant's accounts. The firmand representative vigorously deny the allegations included in the claim.
Arbitration Information
Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):
FINRA
Docket/Case #: 20-01456
Disclosure 4 of 10
i
Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Securities, Inc. & PeachCap Tax & Advisory LLC
Claimants allege sales practice violations including unauthorized trading,unsuitable investments, and misrepresentations and omissions.
Product Type: Other: managed accounts
Alleged Damages: $48,993.00
Date Notice/Process Served: 05/11/2020
Arbitration Pending? Yes
Broker Statement Mr. Miller was not the representative of record on claimant's accounts. The firmand representative vigorously deny the allegations included in the claim.
Arbitration Information
Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):
FINRA
Docket/Case #: 20-01540
Disclosure 5 of 10
i
Reporting Source: Broker
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Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Securities, Inc. & PeachCap Tax & Advisory, LLC.
Customer alleges sales practice violations, including unsuitable investment, failureto diversify, and misrepresentation and omissions, in relation to their managedaccount from October 2015 to December 2016.
Product Type: Other: managed account
Alleged Damages: $22,009.49
Date Complaint Received: 02/11/2020
Complaint Pending? No
Status:
Status Date: 03/02/2020
Settlement Amount:
Individual ContributionAmount:
Date Notice/Process Served: 02/11/2020
Arbitration Pending? Yes
Broker Statement Mr. Miller was not the representative of record on claimant's accounts, andclaimant was not a customer of PeachCap Securities, Inc. The firm andrepresentative vigorously deny the allegations included in the claim.
Customer Complaint Information
Arbitration Information
Denied
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
No
Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):
FINRA
Docket/Case #: 20-00402
Disclosure 6 of 10
i
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Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Securities Inc. & PeachCap Tax & Advisory LLC
Claimant alleges sales practice violations related to mismanagement of heraccounts from October 2015 to early 2017.
Product Type: Other: managed accounts
Alleged Damages: $27,936.14
Date Complaint Received: 12/12/2019
Complaint Pending? No
Status:
Status Date: 01/08/2020
Settlement Amount:
Individual ContributionAmount:
Date Notice/Process Served: 12/12/2019
Customer Complaint Information
Arbitration Information
Denied
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA
Docket/Case #: 19-03552
Filing date ofarbitration/CFTC reparationor civil litigation:
12/02/2019
Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):
FINRA
Docket/Case #: 19-03552
21�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.
www.finra.org/brokercheck User Guidance
Date Notice/Process Served: 12/12/2019
Arbitration Pending? Yes
Broker Statement Mr. Miller was not the representative of record on claimant's accounts, andClaimant was not a customer of PeachCap Securities, Inc. The firm andrepresentative vigorously deny the allegations included in the claim.
Disclosure 7 of 10
i
Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Securities, Inc. & PeachCap Tax & Advisory LLC
Claimant alleges sales practice violations related to mismanagement of theiraccounts from October 2015 to early 2017.
Product Type: Other: managed accounts
Alleged Damages: $49,551.00
Date Complaint Received: 01/03/2020
Complaint Pending? No
Status:
Status Date: 01/08/2020
Settlement Amount:
Individual ContributionAmount:
Customer Complaint Information
Arbitration Information
Denied
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA
Docket/Case #: 19-03747
Filing date ofarbitration/CFTC reparationor civil litigation:
12/26/2019
22�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.
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Date Notice/Process Served: 01/03/2020
Arbitration Pending? Yes
Broker Statement Mr. Miller was not the representative of record on claimant's accounts, andclaimant was not a customer of PeachCap Securities, Inc. The firm andrepresentative vigorously deny the allegations included in the claim.
Arbitration Information
Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):
FINRA
Docket/Case #: 19-03747
Disclosure 8 of 10
i
Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Securities, Inc. & PeachCap Tax & Advisory LLC
Claimant alleges sales practice violations related to mismanagement of heraccounts from October 2015 to October 2016.
Product Type: Other: managed accounts
Alleged Damages: $43,541.00
Date Complaint Received: 10/28/2019
Complaint Pending?
Customer Complaint Information
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA
Docket/Case #: 19-03001
Filing date ofarbitration/CFTC reparationor civil litigation:
10/24/2019
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Complaint Pending? No
Status:
Status Date: 10/28/2019
Settlement Amount:
Individual ContributionAmount:
Date Notice/Process Served: 10/28/2019
Arbitration Pending? Yes
Broker Statement Mr. Miller was not the representative of record on Claimant's accounts, andClaimant was not a customer of PeachCap Securities, Inc. The firm andrepresentative vigorously deny the allegations included in the claim.
Arbitration Information
Evolved into Arbitration/CFTC reparation (the individual is a named party)
Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):
FINRA
Docket/Case #: 19-03001
Disclosure 9 of 10
i
Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Securities, Inc. and PeachCap Tax & Advisory LLC
Customer was unhappy with the performance of his investment with an affiliatedfirm. Rep & Firm vigorously deny any liability to these claims.
Product Type: Direct Investment-DPP & LP InterestsReal Estate Security
Alleged Damages: $662,663.00
Date Complaint Received:
Customer Complaint Information
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
No
24�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.
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Date Complaint Received: 06/24/2019
Complaint Pending? No
Status:
Status Date: 03/13/2020
Settlement Amount:
Individual ContributionAmount:
Date Notice/Process Served: 02/27/2020
Arbitration Pending? Yes
Broker Statement Rep & Firm deny any liability to this claim.
Arbitration Information
Denied
Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):
FINRA
Docket/Case #: 20-00531
Disclosure 10 of 10
i
Reporting Source: Broker
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
PeachCap Securities, Inc. & PeachCap Tax & Advisory, LLC.
Customer was unhappy with the performance of his investment with an affiliatedfirm. Rep & Firm vigorously deny any liability to these claims.
Product Type: Direct Investment-DPP & LP InterestsReal Estate Security
Alleged Damages: $465,000.00
Date Complaint Received:
Customer Complaint Information
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
No
25�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.
www.finra.org/brokercheck User Guidance
Date Complaint Received: 05/13/2019
Complaint Pending? No
Status:
Status Date: 03/13/2020
Settlement Amount:
Individual ContributionAmount:
Date Notice/Process Served: 02/17/2020
Arbitration Pending? Yes
Broker Statement Rep & Firm deny any liability to this claim.
Arbitration Information
Denied
Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):
FINRA
Docket/Case #: 20-00329
26�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.
www.finra.org/brokercheck User Guidance
End of Report
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27�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.
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