Jodie Linn Miller (CRD #4772684, St. Petersburg, Florida)
was assessed a deferred fine of $53,225, including disgorgement of $38,225, plus interest, and suspended by FINRA 18 months. Miller allegedly participated in private sales of $764,500 worth of a company’s securities for which she earned commissions of approximately $38,225 without notifying either of her member firms of her participation, and obtaining either firm’s approval to participate.
FINRA's findings stated that six clients of one of Miller’s firms purchased the company’s notes from her and at least one of those clients believed that he was purchasing a product the firm was recommending. The company’s securities were not registered at the time Miller participated in their sale, nor was there any applicable exemption from registration.
Jodie Miller recommended the company’s securities to investors without having conducted adequate due diligence, despite red flags that should have led Miller to question its claim that the securities were exempt from registration, and without having a reasonable basis for believing that the securities were suitable for those investors. Miller did not obtain or maintain records reflecting information about the customers’ basic investment profiles.
Jodie L. Miller was registered in the securities industry for 8 years and was previously registered with the following securities firm(s):
09/2012 - 01/2013 LPL FINANCIAL LLC (CRD# 6413) - TAMPA, FL
05/2009 - 09/2012 VALIC FINANCIAL ADVISORS, INC. (CRD# 42803) - TAMPA, FL
03/2008 - 11/2008 QUESTAR CAPITAL CORPORATION (CRD# 43100) - ST. PETERSBURG, FL
06/2004 - 03/2008 NYLIFE SECURITIES LLC (CRD# 5167) - TAMPA, FL
The summation of information from FINRA's Disciplinary reports from January, 2015 ends here.
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