CHRISTOPHER A. MILAM

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/01/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER A. MILAM (CRD No. 5586830), Respondent. Disciplinary Proceeding No. 2011027538701 Hearing Officer - RLP DEFAULT DECISION February 1, 2013 Respondent is barred from associating with any FINRA member in any capacity for (i) converting funds, in violation of FINRA Rule 2010; and (ii) failing to provide requested information, in violation of FINRA Rules 8210 and 2010. Appearances Dale A.
08/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher A. Milam (CRD No. 5586830), Respondent. DISCIPLINARY PROCEEDING NO. 2011027538701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Christopher A. Milam approached a country club in Iowa to sponsor annual golf tournaments, the proceeds of which would be used to create a college scholarship. The first college scholarship would be awarded following the fifth annual
Reference 2011027538701finra.org data-portal.finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5586830

Other names1

Also known as1

CHRISTOPHER ANDREW MILAM

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