WALTER A. MILLS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/19/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007387901 TO: Department of Enforcement NASD RE: Griffin, Mills & Long, LLC. Respondent Member Firm CRD No. 47778 Walter A. Mills, Respondent General Securities Principal CRD No. 2532559 Pursuant to Rule 9216 of NASD Code of Procedure, Griffin, Mills & Long, LLC (GML) and Walter A. Mills (collectively Respondents) submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described
Reference 2007007387901finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2532559

Other names1

Also known as1

WALTER ANDREW MILLS

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