STEPHEN PAUL MILLER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/02/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006197301 TO: Department of Enforcement NASD RE: Stephen Paul Miller, Respondent CRD No. 2007485 Pursuant to Rule 9216 of NASD Code of Procedure, Stephen Paul Miller ("Miller") submits this Letter of Acceptance. Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging
Reference 2006006197301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2007485 |
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