Eric Joseph Miller, of Scottsdale, Arizona, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon an Office of Hearing Officers Default Decision containing findings that Miller failed to attend a disciplinary hearing and testify concerning his firm’s activities. Department of Enforcement v. Eric Joseph Miller, No. 2014041724602 (Feb. 22, 2017).
According to the Decision, on May 3, 2016, a letter was sent from the Department of Enforcement to Miller which called upon him to provide witness testimony, based on Rule 8210, pertaining to the Department of Enforcement v. Scottsdale Capital Advisors Corp disciplinary hearing. Apparently, Miller and the Department of Enforcement confirmed that Miller received FINRA’s request; however, Miller failed to respond to FINRA’s additional attempts to communicate with him. Miller reportedly never made an appearance at the June 13, 2016 scheduled hearing. Consequently, FINRA found that Miler violated FINRA Rules 2010 and 8210, leading to his permanent bar.
Since July 26, 1988, Miller has been associated with seven different broker dealers, three of which have been expelled by securities regulators for violation of federal securities laws or is otherwise defunct. #cockroach
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