ERIC JOSEPH MILLER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/06/2016: FlNANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. ERIC JOSEPH MILLER (CRD No. 1844951), RESPONDENT. DISCIPLINARY PROCEEDING No. 2014041724602 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In June 2016, Respondent Eric Joseph Miller failed to appear as a witness for a FINRA disciplinary proceeding that he was obligated to attend pursuant to a FINRA Rule 8210 request letter. As a result, Miller violated
02/22/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. ERIC JOSEPH MILLER (CRD No. 1844951), Respondent. Disciplinary Proceeding No. 2014041724602 Hearing Officer-KBW DEFAULT DECISION February 22, 2017 Respondent is barred from associating with any FINRA member firm in any capacity for failing to appear and provide testimony at a disciplinary hearing. For the Complainant: Jasmine K. Shergill, Esq., Department of Enforcement, Financial
Reference 2014041724602data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1844951

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