Nex Systems
Type not stated

ALAN BARRY MILLER

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • 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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