GERALD STUART MILLER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/15/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. GERALD STUART MILLER (CRD No. 1087230), Respondent. Disciplinary Proceeding No. C01050002 Hearing Officer - AWH Default Decision September 15, 2005 Formerly registered representative (1) converted customer funds, in violation of NASD Conduct Rules 2330 and 2110; and (2) failed to respond to NASD Staff requests for information, in violation of NASD Procedural Rule 8210 and Conduct Rule 2110. Respondent is barred
Reference C01050002data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1087230 |
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