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2018056490331 Mack Leon Miller CRD 2822317 AWC vr.pdf
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2018056490331 Mack Leon Miller CRD 2822317 AWC vr.pdf
Between October 2019 and April 2022, Miller recommended to two retail customers a series of trades that were excessive, unsuitable, and not in the customers' best interests. As a result, Miller willfully violated the Best Interest Obligation under Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 (Regulation BI or Reg BI) and violated FINRA Rules 2111 and 2010. For these violations, Miller is suspended for nine months in all capacities...
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