Columbus, Ohio financial advisor Tom Bates (CRD# 1037294) allegedly gave misleading investment advice, according to a recent investor complaint. Financial...Read More
Mariner Wealth’s Cara Miller: Atlas Growth Complaint Settles for $208K
A recent investor complaint against Highlands Ranch, Colorado financial advisor Cara Miller (CRD# 4521819) includes allegations regarding an investment in Atlas Growth Partners. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that she was most recently registered as a broker with ProEquities and that she is currently registered as an investment advisor with Mariner Wealth Advisors.
Ms. Miller’s BrokerCheck report discloses three investor complaints. The most recent, filed in May 2023, alleges that as a representative of Concourse Financial Group Securities, she recommended unsuitable alternative investments. The pending complaint alleges damages of $590,000.
An earlier investor complaint, filed in July 2022, alleged that as a representative of Concourse Financial Group Securities, she recommended unsuitable investments in Atlas Growth Partners. The complaint reached a settlement of $208,698.31.
A third investor complaint, filed in 2020, alleged that as a representative of ProEquities Securities, she recommended an unsuitable oil and gas investment. The complaint reached a settlement of $22,500.
According to records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Cara Miller holds 20 years of securities industry experience. Based in Highlands Ranch, Colorado, she has been a representative of Mariner Wealth Advisors since 2021. Her registration history includes ProEquities (Rapid City, South Dakota; 2006-2020), Financial Network Investment Corporation (Rapid City, South Dakota; 2004-2006), and Edward Jones (St. Louis, Missouri; 2002-2004). Her credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. She is not currently licensed as a broker, though she is licensed as an investment advisor in Colorado and South Dakota. (Information current as of August 27, 2023.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.