PHILLIP E. MILES
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090167424 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Phillip E. Miles, Respondent Former General Securities Representative CRD No. 4304543 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Phillip Miles ("Mr. Miles"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2009016742401finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4304543 |
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