1st Discount Brokerage Inc.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038328301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: 1st Discount Brokerage, Inc. (CRD No. 39164) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 1st Discount Brokerage, Inc. ("1DB" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2013038328301data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020821501 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: 1st Discount Brokerage, Inc., Respondent Member CRD No. 39164 Alan Barry Miller, Respondent General Securities Principal CRD No. 1106694 Mark Irwin Miller, Respondent General Securities Principal CRD No. 2228347 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 1st Discount Brokerage, Inc.
Reference 2009020821501finra.orgdata-portal.finra.org
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