DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united...

29
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)

Transcript of DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united...

Page 1: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

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)

Page 2: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

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.

· What is included in a BrokerCheck report?· BrokerCheck reports for individual brokers include information such as employment history, professional

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.

· Please note that the information contained in a BrokerCheck report may include pending actions orallegations that may be contested, unresolved or unproven. In the end, these actions or allegations may beresolved in favor of the broker or brokerage firm, or concluded through a negotiated settlement with no admissionor finding of wrongdoing.

· 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.

· What if I want to check the background of an investment adviser firm or investment adviserrepresentative?

· To check the background of an investment adviser firm or representative, you can search for the firm orindividual in BrokerCheck. If your search is successful, click on the link provided to view the available licensingand registration information in the SEC's Investment Adviser Public Disclosure (IAPD) website athttps://www.adviserinfo.sec.gov. In the alternative, you may search the IAPD website directly or contact your statesecurities regulator at http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414.

· Are there other resources I can use to check the background of investment professionals?· FINRA recommends that you learn as much as possible about an investment professional before deciding

to work with them. Your state securities regulator can help you research brokers and investment adviserrepresentatives doing business in your state.

·Thank you for using FINRA BrokerCheck.

For more information aboutFINRA, visit www.finra.org.

Using this site/information meansthat you accept the FINRABrokerCheck Terms andConditions. A complete list ofTerms and Conditions can befound at

For additional information aboutthe contents of this report, pleaserefer to the User Guidance orwww.finra.org/brokercheck. Itprovides a glossary of terms and alist of frequently asked questions,as well as additional resources.

brokercheck.finra.org

Page 3: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

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

www.finra.org/brokercheck User Guidance

1�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 4: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

2�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 5: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

3�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 6: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

4�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 7: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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/.

5�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 8: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

Broker Qualifications

Professional Designations

This section details that the representative has reported 0 professional designation(s).

No information reported.

6�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 9: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

7�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 10: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

8�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 11: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

9�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 12: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

10�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 13: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

11�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 14: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

12�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 15: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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.

Direct Investment-DPP & LP Interests13�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 16: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

14�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 17: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

15�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 18: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

16�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 19: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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.

17�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 20: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

Arbitration Information18�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 21: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

19�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 22: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

20�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 23: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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.

Page 24: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

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.

Page 25: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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

23�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.

Page 26: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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.

Page 27: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

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.

Page 28: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

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.

Page 29: DAVID HARRISON MILLER · 08/2008 - present miller wealth financial, llc owner n atlanta, ga, united states 08/2008 - 10/2015 investacorp inc registered representative y miami lakes,

www.finra.org/brokercheck User Guidance

End of Report

This page is intentionally left blank.

27�2020 FINRA. All rights reserved. Report about DAVID H. MILLER.