December 18, 2015-Chattanooga, TN
A Financial Industry Regulatory Authority (FINRA) hearing panel found that former Benjamin F. Edwards broker Aon D. Miller violated NASD Rule 3040 and FINRA Rule 2010 by participating in private securities transactions without providing the required prior written authority to his firm. Miller was suspended for two years, fined $50,000 and ordered to pay costs. Disciplinary Proceeding No. 2012034393801.
Over $1.5 million was raised in three private securities transactions involving Chestnut Development Partners LP, City Title Loan and KB International, LLC.
According to FINRA records Miller has appealed the FINRA hearing panel ruling.
Aon Miller was registered with Benjamin F. Edwards from 7/2011-10/2012, when he was discharged for “violating firm procedures regarding outside business activities and private securities transactions.” Miller was registered with Purshe Kaplan Sterling Investments in Chattanooga from 11/2012-4/2013.
If you have questions about an account handled by Aon D. Miller call to speak with an experienced securities attorney.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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