{"id":2961,"date":"2015-08-24T00:00:00","date_gmt":"2015-08-24T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/1st-discount-brokerage-inc-mark-miller-alan-miller-censured-and-fined-by-finra\/"},"modified":"2015-08-24T00:00:00","modified_gmt":"2015-08-24T04:00:00","slug":"1st-discount-brokerage-inc-mark-miller-alan-miller-censured-and-fined-by-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/1st-discount-brokerage-inc-mark-miller-alan-miller-censured-and-fined-by-finra\/","title":{"rendered":"1st Discount Brokerage, Inc., Mark Miller, Alan Miller Censured and Fined by FINRA"},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/1st-Discount-Brokerage-Inc.-Mark-Miller-Alan-Miller-Censured-and-Fined-by-FINRA.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter size-large wp-image-1751\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/1st-Discount-Brokerage-Inc.-Mark-Miller-Alan-Miller-Censured-and-Fined-by-FINRA-1024x684.jpg\" alt=\"1st Discount Brokerage, Inc., Mark Miller, Alan Miller Censured and Fined by FINRAon silverlaw.com\" width=\"1024\" height=\"684\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/1st-Discount-Brokerage-Inc.-Mark-Miller-Alan-Miller-Censured-and-Fined-by-FINRA-1024x684.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/1st-Discount-Brokerage-Inc.-Mark-Miller-Alan-Miller-Censured-and-Fined-by-FINRA-300x200.jpg 300w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/a><\/h2>\n<h2>Failed to follow Securities Act requirements<\/h2>\n<\/p>\n<p>Lake Worth, Florida-based 1st Discount Brokerage, Inc along with Naples, Florida-based Alan Miller and Overland Park, Kansas-based Mark Miller are all players in a FINRA disciplinary action, according to <a href=\"https:\/\/www.finra.org\/sites\/default\/files\/Disciplinary_Actions_June_2015.pdf\"  target=\"_blank\">the June 2015 FINRA Disciplinary Action Report<\/a>.<\/p>\n<p>Both Alan Miller and Mark Miller consented to the sanctions and entry of the findings, without admitting or denying the findings, that their firm did not follow appropriate Securities Act requirements when executing sales of large blocks of low-priced securities frequently referred to as penny stocks.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/1st-discount-brokerage-inc-mark-miller-alan-miller-censured-and-fined-by-finra\/\"  title=\"Continue Reading 1st Discount Brokerage, Inc., Mark Miller, Alan Miller Censured and Fined by FINRA\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Failed to follow Securities Act requirements Lake Worth, Florida-based 1st Discount Brokerage, Inc along with Naples, Florida-based Alan Miller and Overland Park, Kansas-based Mark Miller are all players in a FINRA disciplinary action, according to the June 2015 FINRA Disciplinary Action Report. Both Alan Miller and Mark Miller consented to the sanctions and entry of [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[602],"tags":[484],"class_list":["post-2961","post","type-post","status-publish","format-standard","hentry","category-class-action","tag-censured-and-fined-by-finra"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>1st Discount Brokerage, Inc., Mark Miller, Alan Miller Censured and Fined by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; August 24, 2015<\/title>\n<meta name=\"description\" content=\"Read the full article on 1st Discount Brokerage, Inc., Mark Miller, Alan Miller Censured and Fined by FINRA on Silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, 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