JODIE L. MILLER (CRD# 4772684)
was suspended by FINRA for 18 months and a fined $53,225, included in this figure was a disgorgement in the amount of $38,225 plus interest. This was due to Miller's alleged "selling away" securities in Tri-Med Corporation.
According to the reports, in 2012 Miller allegedly participated in the private sales of Tri-Med Corporation in the amount of $764,500. Miller made approximately $38,225 in commissions. It was also reported that Miller did not notify or get the approval of her firms for her participation in the sale of private securities.
The Florida Office of Financial Regulation sued Tri-Med and five of it's top officers alleging the sale of unregistered securities and operating what amounted to a "Ponzi scheme."
According to FINRA's BrokerCheck, JODIE L. MILLER 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 Florida-based Soreide Law Group represents clients nationwide in arbitrations before FINRA. For a free consultation on how to potentially recover your investment losses due to your broker/financial advisor call: 888-760-6552.
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