DONNA MARIE MILLER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DONNA MARIE MILLER (CRD No. 2822229), Respondent. Disciplinary Proceeding No. 2010021623401 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 25, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for conversion of funds from her employer, in violation of NASD Conduct Rule 2110; and failing to respond to requests for information, in violation of
Reference 2010021623401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2822229 |
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