{"id":3063,"date":"2015-01-02T00:00:00","date_gmt":"2015-01-02T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-files-disciplinary-charges-against-aon-douglas-miller\/"},"modified":"2017-12-27T16:17:30","modified_gmt":"2017-12-27T21:17:30","slug":"finra-files-disciplinary-charges-against-aon-douglas-miller","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-aon-douglas-miller\/","title":{"rendered":"FINRA Files Disciplinary Charges against Aon Douglas Miller"},"content":{"rendered":"<\/p>\n

Aon Douglas Miller, of Chattanooga, Tennessee, was named a respondent in a FINRA complaint alleging that he participated in private securities transactions<\/a> with various entities in which four of his member firm\u2019s 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\u2019s 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. \u00a0Aon 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.<\/p>\n

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.\u00a0 (FINRA Case #2012034393801<\/a><\/strong>)<\/p>\n

If you invested money with Aon Douglas Miller, you may be entitled to recover some of you investment losses from his employers.\u00a0 Broker-dealers have a duty to supervise<\/a> the activities of their advisors.\u00a0 Many broker-dealers turn a blind eye or ignore questionable red flags which can lead to liability. \u00a0Please call our securities law firm<\/a> 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.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

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\u2019s 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 […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[607],"tags":[],"class_list":["post-3063","post","type-post","status-publish","format-standard","hentry","category-failure-to-supervise"],"yoast_head":"\nFINRA Files Disciplinary Charges against Aon Douglas Miller — Securities Arbitration Lawyers Blog — January 2, 2015<\/title>\n<meta name=\"description\" content=\"Aon Douglas Miller, of Chattanooga, Tennessee, was named a respondent in a FINRA complaint alleging that he participated in private securities — January 2, 2015\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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