Articles Tagged with City Securities

Stoltmann Law Offices is investigating Barbara D. Fife, who recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). She is accused of converting the funds of a firm customer, while she was registered with LPL Financial. Subsequently, FINRA barred her from the industry for her misconduct. She was registered with the following firms: MML Investors Services, Essex National Securities, First Chicago NBD Investment Services, Independent Financial Securities, Natcity Investments, First Chicago NBD Investment Services, Banc One Securities, UBS Financial Services, Fifth Third Securities, City Securities and LPL Financial in Fishers, Indiana from September 2007 until June 2014. She is not currently registered with any member firm. She has five customer disputes against her, one of which is pending. She is not licensed in the industry, and FINRA permanently barred her from acting as a broker or associating with firms that sell securities to the public.

If you invested money with Barbara D. Fife, please call our securities law firm at 312-332-4200 to speak with an attorney about your options of suing her former firm, LPL Financial. They had a duty to reasonably supervise her while she was employed with them. The call is free with no obligation. We take cases on a contingency fee basis only.

Stoltmann Law Offices is investigating John Cody Miller, a City Securities broker. Miller is accused of executing discretionary transactions in the accounts of 90 customers without verbal authorization to exercise discretion in their accounts. His firm did not approve these accounts for discretionary trading. These actions occurred from May 4th through June 1st 2010. For this, he was suspended from the industry for 20 days and fined $10,000. Miller was registered with Charles Schwab & Co. in San Francisco, California from June 1998 until July 1998, Natcity Investments in Indianapolis, Indiana from July 1998 until November 2009 and PNC Investments, also in Indianapolis from November 2009 until October 2010. He is currently registered with City Securities in Indianapolis and has been since 2010. He has one customer dispute against him. If you lost money with John Cody Miller, his firm, City Securities, can be sued in the Financial Industry Regulatory Authority (FINRA) arbitration process to recover finances. City Securities can be held liable for not properly supervising Miller during his employment there. Please call our law offices at 312-332-4200 to speak to an attorney. The call is free.

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