February 11, 2016- Plantation, Florida
Lawrence Leslie Miller entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to provide testimony as requested by FINRA during the course of an investigation into allegations that Miller arranged for an unauthorized person to access firm client information via the firm’s online database.
AWC No. 20150463095-01
Miller was barred from associating with any FINRA member in any capacity.
FINRA records indicate that Miller was registered with Summit Brokerage Services from 8/2015 -10/2015. Prior to that he was registered with LPL Financial from 11/2005-7/2015
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Nationwide Representation
TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870
