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.
Investors potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]
Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]
Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com