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January 19, 2015
Former Broker from Tampa LPL Financial Fined Over Private Securities Transactions

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 […]

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