FINRA Files Disciplinary Charges against Aon Douglas Miller

Aon Douglas Miller, of Chattanooga, Tennessee, was named a respondent in a FINRA complaint alleging that he participated in private securities transactions with various entities in which four of his member firm’s customers invested a total of $1,550,000. The complaint alleges that at no time were any of the entities in which the customers invested on the list of approved investment products at Miller’s firm. Miller did not provide prior written notice or a full and detailed description of the investment to his firm about any of the transactions.  Aon Miller allegedly sold investments in the CDP real estate investment, a chemical company referred to as KBI and promissory notes in a company called CTL.

Miller was registered with several brokerage firms in the last several years including Benjamin F. Edwards & Co., Inc., Wells Fargo Advisors, LLC and Purshe Kaplan Sterling Investments.  (FINRA Case #2012034393801)

If you invested money with Aon Douglas Miller, you may be entitled to recover some of you investment losses from his employers.  Broker-dealers have a duty to supervise the activities of their advisors.  Many broker-dealers turn a blind eye or ignore questionable red flags which can lead to liability.  Please call our securities law firm toll free at (800) 975-4345 to speak to an attorney to find out how we may be able to help you recover some of your investment losses.