DOUGLAS SCOTT MILLER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041919401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gary Lee Rathbun, Respondent Former Registered Representative and General Securities Principal CRD No. 1084721 Douglas Scott Miller, Respondent Former General Securities Representative CRD No. 1946240 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and
Reference 2014041919401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1946240 |
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