Nelle Miller Named in Pending Dispute
Nelle Miller (CRD #: 4590361), a broker registered with J.P. Morgan Securities, is involved in a pending dispute, according to her BrokerCheck record, accessed on July 30, 2022. Keep reading to learn more about Nelle Miller’s conduct as a broker.
On June 2, 2022, two securities trading entities alleged that Nelle Miller was involved in violations of various FINRA rules in connection with J.P. Morgan Securities’ Initial Public Offering allocation process, as well as other unspecified allegations. This dispute is currently pending.
FINRA Rule 5131
FINRA Rule 5131 describes some of the trading practices required of FINRA members with regard to securities offerings and share allocation, as well as prohibiting FINRA members from allocating shares when they have certain conflicts of interest.
Nelle Miller has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
- Series 10 – General Securities Sales Supervisor – General Module Examination
- Series 9 – General Securities Sales Supervisor – Options Module Examination
Nelle Miller is a registered broker in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.
She previously worked for J.P. Morgan Securities (CRD#:18718).
Kurta Law Can Help
If you worked with Nelle Miller and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.