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FINRA Broker Allegations

Allegations against: Andrew William Miles

Allegation type: Customer Dispute

Allegation status: Pending

The allegations read: The customer alleges that pathfinder business strategies llc/tax savings professionals an entity owned by mr. Miles recommended ad sold him clean coal tax credits in 2012. Prior to purchasing the services and tax credits, the customer alleges that he was told that the equipment had been put into service in 2005 and the tax credits were for coal that had already been processed.due to a fraud committed by the issuer, the irs denied the tax credits. The customer alleges that mr. Miles told him that he would "make us whole", but noted that e&o insurance carrier would not communicate with or accept his claim until the fbi, doj and irs completed all their decisions and actions. The customer alleges that in nov. 2019 and july 2020 he submitted a claim. The e&o insurance carrier told him that the claim was denied because mr. Miles' policy coverage was exhausted.

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