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.
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.
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