BrokerCheck records reflect that George R. Miller (CRD# 1297372) is a registered financial professional with Raymond James & Associates, Inc. in Baton Rouge, Louisiana, and is the subject of a pending customer complaint alleging client funds were not invested after deposit.
Financial Advisor’s Career History
Based on the BrokerCheck report, George R. Miller’s disclosed securities industry registration history includes:
- E. F. Hutton & Company Inc (11/1984 – 02/1988)
- Shearson Lehman Hutton Inc. (02/1988 – 06/1988)
- Morgan Keegan & Company, Inc. (05/1988 – 02/2013)
- Raymond James & Associates, Inc. (02/2013 – Present)
George R. Miller Fraud Allegations and Investor Complaints Explained
BrokerCheck discloses one customer dispute, listed as pending, reported while George R. Miller was associated with Raymond James & Associates, Inc.
Pending customer complaint (received December 7, 2025)
According to the disclosure details, the client alleges the advisor did not invest funds upon deposit. The matter is identified as involving an ETF (listed under “Other: ETF”), with alleged damages of $20,350.44. The alleged activity period is August 30, 2018 through December 7, 2025, and the complaint is marked pending (not an arbitration/civil litigation filing in the disclosure entry).
Disclosure summary (for context):
- Event type: Customer Dispute — Pending
- Allegation: “Client alleges advisor did not invest funds upon deposit.”
- Alleged activity dates: 08/30/2018 – 12/07/2025
- Product type: Other — ETF
- Alleged damages: $20,350.44
- Date complaint received: 12/07/2025
- Disposition/status: Pending (no settlement amount reported)
To obtain a copy of George R. Miller’s FINRA BrokerCheck report, visit this link.
Robert Wayne Pearce Is Committed to Recovering Your Investment Losses
FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) broadly requires brokers to observe high standards of commercial honor and just and equitable principles of trade. In a complaint alleging that funds were deposited but not invested as expected, Rule 2010 can be implicated where the alleged conduct reflects unfair handling of client instructions, misleading account handling, or other conduct falling below industry standards as framed by the customer’s allegations.
FINRA Rule 4511 (Books and Records) generally requires firms to make and preserve accurate books and records as required under FINRA rules and applicable SEC recordkeeping requirements. Where a customer alleges funds were not invested after deposit, recordkeeping can become central—e.g., whether account statements, cash balances, trade records, and any internal notes accurately reflect instructions received and actions taken during the alleged activity period.
FINRA Rule 3110 (Supervision) requires firms to establish and maintain a supervisory system reasonably designed to achieve compliance with securities laws and FINRA rules, including written supervisory procedures and oversight of registered personnel. If the allegation is that funds were not invested over time, supervisory questions often include whether the firm had processes to detect uninvested cash inconsistencies, exceptions, or operational red flags and whether it responded appropriately once the written complaint was received.
Losing your savings to a dishonest broker or advisor can be devastating, but you do not have to face it alone. Robert Wayne Pearce and his team have spent over four decades helping investors who were misled or defrauded by Wall Street firms. The Law Offices of Robert Wayne Pearce, P.A. takes cases nationwide on a contingency fee basis. You pay nothing unless we recover your losses. Call (800) 732-2889 or email pearce@rwpearce.com today for a free and confidential consultation.