Aon D. Miller

09/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Aon D. Miller (CRD No. 3083225), Respondent. DISCIPLINARY PROCEEDING No. 2012034393801 AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From November 2011 through September 2012, Aon D. Miller ("Miller") participated in five private securities transactions with three different entities in which four of his customers invested a total of $1,550,000. 2. At the time he

05/23/2018: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Aon D. Miller Chattanooga, TN, Respondent. DECISION Complaint No. 2012034393801 Dated: May 23, 2018 Respondent participated in private securities transactions without providing written notice to his firm. Held, findings affirmed, sanctions modified. Appearances For the Complainant:

12/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AON D. MILLER (CRD No. 3083225), Respondent. Disciplinary Proceeding No. 2012034393801 Hearing Officer-LOM EXTENDED HEARING PANEL DECISION December 18, 2015 Respondent violated NASD Rule 3040 and FINRA Rule 2010 by participating in private securities transactions without providing the required prior written notice to his firm. Respondent is suspended from association with any FINRA

Reference 2012034393801data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org