Louis Mark Miller
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/26/2019: 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
10/14/2019: 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).
Reference 2017056829901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3054955 |
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