Category Archives: Benjamin F. Edwards & Co.

Aon D. Miller-Former Benjamin Edwards Broker- Sanctioned by Regulators

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Former Benjamin Edwards Broker Aon D. Miller Charged By FINRA

UPDATE January 2016-Chattanooga, TN–A FINRA hearing panel found that former Benjamin F. Edwards broker Aon D. Miller had violated NASD and FINRA rules in connection with private securities transactions. He was suspended for two years and fined $50,000. Miller has appealed the ruling, according to FINRA records. See this for more detail. 

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In September 2014, FINRA Department of Enforcement filed an Amended Complaint against Aon D. Miller alleging that he participated in private securities transactions in which $1.5 million was raised and did not provide his member firm Benjamin F. Edwards & Company (BFE) with prior written notice of his involvement in violation of NASD and FINRA rules.

Miller solicited BFE customers to invest in outside businesses and was  terminated for violation of firm procedures related to outside business activities in November 2012.

FINRA records indicate that Miller was registered with Purshe Kaplan Sterling Investments in Chattanooga, TN, from 11/2012-4/2013, after leaving Benjamin Edwards.

If you have questions about an account handled by Miller call to discuss your options 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870