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Jodie Linn Miller Investment Loss Recovery Options

January 17, 2015  |  Selling Away

If you have ever lost money investing with Jodie Linn Miller of LPL Financial or VALIC Financial Advisors, you may be able to recover your losses through FINRA arbitration or securities litigation.

According to the Financial Industry Regulatory Authority (FINRA),  Jodi Linn Miller signed a letter of acceptance, waiver and consent (AWC) while employed at VALIC Financial Advisors and LPL Financial involving the private sales of Tri-Med Corporation Notes in the amount of $764,500. Upon information and belief, Tri-Med Corporation Notes were not approved by the firms Jodi Linn Miller were registered with.

In the securities industry, a stockbroker engaged in selling or recommending securities that are not approved by the firm is commonly referred to in the securities industry as “selling away”. “Selling away” describes the situation where a financial advisor or broker recommends securities or investments that are not approved for sale by the brokerage firm and not on the brokerage firm’s approved product list. The brokerage firm’s approved product list identifies the types of securities and investments that are approved for brokers to sell after the securities have been subjected to the brokerage firm’s due diligence process which includes receiving the necessary risk and compliance department reviews and approvals.

If you have suffered investment losses with Jodie Linn Miller or investing in the Tri-Med Notes, please contact Kons Law Firm at (860) 920-5181 for a FREE, NO OBLIGATION consultation to discuss your legal rights.

Kons Law Firm represents investors nationwide in securities arbitration and litigation matters. To learn more about the Firm’s securities litigation and FINRA arbitration practice, please visit www.investmentfraudattorneys.com

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This website is marked as “ADVERTISING MATERIAL” and as “ATTORNEY ADVERTISING”. The responsible attorney for this attorney advertisement is Joshua B. Kons, Esq. (Juris No. 434048), whose contact information can be found on the Contact Us link. Any information contained on this website is for informational purposes only and is not intended to be legal advice. Any investigation referenced on this website is independent in nature and is being conducted by the Firm privately. Any information or statements contained in this website are statements of opinion derived from a review of public records, and should not be viewed as not statements of fact. Each potential case is assessed on a case-by-case basis, and there is no guarantee that the Firm will propose representation. Copyright © 2012-2023. All Rights Reserved. *In contingency fee representation, clients may still be responsible for costs. Prior results do not guarantee a similar outcome.

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