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FINRA Disciplinary Actions Online

Displaying 1 - 2 of 2
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2017056829901 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Louis Mark Miller (CRD No. 3054955) Respondent. Disciplinary Proceeding No. 2017056829901 Hearing Officer CC ORDER ACCEPTING OFFER OF SETTLEMENT Date: 10/14/19 INTRODUCTION Disciplinary Proceeding No. 2017056829901 was filed on July 26, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Orders Accepting Offers of Settlement
Louis Mark Miller
10/14/2019
2017056829901 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Louis Mark Miller (CRD No. 3054955), Respondent. Disciplinary Proceeding No. 2017056829901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In March 2018, Enforcement initiated an investigation into allegations that Louis Mark Miller (“Miller"), a General Securities Representative with LPL Financial LLC (“LPL" or the “Firm”), a FINRA regulated Complaints
Louis Mark Miller
07/26/2019