Tag Archives: Daniel S. Miller

Growth Capital Stockbroker Suspended For Selling Away

Daniel S. Miller, of San Francisco, California, a stockbroker with Growth Capital, was fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in unauthorized private securities transactions. Letter of Acceptance, Waiver and Consent, No. 2015044394701 (May 26, […]

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