Nex Systems
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DAVID MICHAEL 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

    04/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. DAVID MICHAEL MILLER (CRD No. 5461431), Respondent. Disciplinary Proceeding No. 2013036874901 Hearing Officer-MJD DEFAULT DECISION April 28, 2016 Respondent made unsuitable recommendations in connection with the purchase of unit investment trusts in 129 customer accounts and made negligent misrepresentations and failed to disclose material facts to eight customers in connection with the

    11/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David Michael Miller (CRD No. 5461431), Respondent. DISCIPLINARY PROCEEDING No. 20130368749-01 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between August 2012 and May 2013, former The Huntington Investment Company ("Huntington") representative David Michael Miller recommended 141 purchases of unit investment trusts ("UITs") totaling approximately $5.4 million in 129 customer

    Reference 2013036874901data-portal.finra.orgdata-portal.finra.orgfinra.org

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