Nex Systems
Type not stated

COURTLANDT GERDES 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

    02/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. COURTLANDT GERDES MILLER (CRD NO. 1645887) Respondent. DISCIPLINARY PROCEEDING No. 2008013183601 Hearing Officer - MAD ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2008013183601 was filed on September 9, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent Courtlandt Gerdes Miller (CRD No. 1645887)

    Reference 2008013183601data-portal.finra.orgfinra.org

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