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Halling & Cayo, S.C. is evaluating legal claims involving this financial advisor's conduct. We encourage customers who believe they may have a cause of action related to these investment recommendations to reach out to our securities lawyers.
If a customer makes a complaint regarding a broker, it must be reported to the appropriate regulatory bodies, ensuring that a record of the dispute is available to the public.
Claim(s) Made Against Andrew William Miles:
Claim Date: 7/7/2026
“Claimants alleges breach of fiduciary duty; suitability rule; respondent violated FINRA rules 2010, IM-2310-2, and 2020; violations of federal Colorado, Colorado Blue Sky statue and Colorado common law; failed to supervise control person liability, and respondent superior liability; breach of contract and damages.”
This claim, as of this posting, is currently Pending with a claim amount of $600,000.00 .
Claim Date: 5/10/2025
“Claimants allege Violation of Federal Securities Laws; Violation of the New Jersey uniform securities law; Breach of contract; Common Law Fraud; Breach of Fiduciary Duty; Negligence and Gross Negligence;”
This claim, as of this posting, is currently Settled with a claim amount of $249,593.00 .
The investor was paid $150,000.00 by the brokers’ firm.
Claim Date: 3/19/2024
“CLAIMANT ALLEGES REASONABLE BASIS UNSUITABILITY; BREACH OF FIDUCIARY DUTY; NEGLIGENCE/GROSS NEGLIGENCE/NEGLIGENCE PER SE; NEGLIGENT MISREPRESENTATION; INTENTIONAL MISREPRESENTATION/OMISSION; AIDING AND ABETTING A FRAUD; NEGLIGENT HIRING, RETENTION, SUPERVISION; BREACH OF CONTRACT; AIDING AND ABETTING VIOLATION OF THE FLORIDA SECURITIES AND INVESTOR PROTECTION ACT; EQUITABLE RESCISSION; DECLARATORY JUDGEMENT.”
This claim, as of this posting, is currently Settled with a claim amount of $1,000,000.00 .
The investor was paid $78,000.00 by the brokers’ firm.
Claim Date: 12/9/2025
“Claimants allege failure to make suitability recommendations; misleading information provided by the registered representative; failure to supervise; and breach of contract and damages.”
This claim, as of this posting, is currently Pending with a claim amount of $207,000.00 .
See more information on FINRA’s BrokerCheck site for Andrew William Miles.