Defendant Name:
David Miller
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of David Miller
First Document Date
25-Apr-2013
Initial Filing Format
Administrative Action
File Number
3-15303
Allegation Type
Broker Dealer
Affiliations
- Former: Broker/Registered Representative at Rochdale Securities LLC (February 2009—October 2012)
Violations Alleged
•
Sec 17(a) (Not specified)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
First Resolution Date
