MILKIE FERGUSON INVESTMENTS INC.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/05/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C06050001 TO: Department of Enforcement NASD RE: Milkie/Ferguson Investments, Inc. CRD No. 17606 John Henry Merbler Financial and Operations Principal CRD No. 1464165 Pursuant to Rule 9216 of NASD Code of Procedure, Milkie/Ferguson Investments, Inc. and John Henry Merbler ("MFI" and "Merbler," respectively, or "Respondents" collectively) submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the allege
Reference C06050001data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, Milkie Ferguson Investments, Inc. (CRD No. 17606), Daniel Levin (CRD No. 707280), and Respondents. DISCIPLINARY PROCEEDING No. 2009016271801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This case involves serious failures by Milkie Ferguson Investments, Inc. ("Milkie Ferguson") and two of its principals to
Reference 2009016271801finra.orgdata-portal.finra.org
Other names1
Also known as1
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