Tag Archives: Louis Mark Miller

FINRA Bars LPL Stockbroker In Unauthorized Trading Investigation

October 18, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Louis Mark Miller of Jericho New York a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of Miller having failed to comply with FINRA personnel during the period in which he was investigated for effecting discretionary trades […]

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FINRA Charges LPL Stockbroker In Unauthorized Trading Investigation

August 11, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Louis Mark Miller of Jericho New York a stockbroker formerly employed by LPL Financial LLC has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Miller failed to testify before FINRA personnel during an investigation into accusations of Miller’s unauthorized trading in customers’ brokerage accounts when he was employed by LPL […]

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LPL Financial Broker Targeted In Unauthorized Trading Action

February 05, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Louis Mark Miller of Jericho New York a stockbroker formerly employed by LPL Financial LLC is referenced in a Financial Industry Regulatory Authority (“FINRA”) Wells Notice in which FINRA has made an initial determination to suggest that FINRA Department of Enforcement bring a disciplinary action against Miller for obstructing an investigation and making unauthorized trades […]

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