(CRD #2822317, Kearny, New Jersey)

August 11, 2025 – An AWC was issued in which Mack Miller was suspended from association with any FINRA member in all capacities for nine months. In light of Millers' financial status, no monetary sanctions have been imposed. Without admitting or denying the findings, Miller consented to the sanction and to the entry of findings that he willfully violated Reg BI when he recommended a series of trades that were excessive, unsuitable, and not in the two senior customers’ best interests. The findings stated that Miller’s trading generated $32,230 in commissions and resulted in $71,022 in realized losses. One of the customers relied on Miller's advice and routinely followed his recommendations, and, as a result, Miller exercised de facto control over that customer’s account. The suspension is in effect from September 2, 2025, through June 1, 2026. (FINRA Case #2018056490331) If you have suffered losses as a result of Mack Miller's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Mack Miller. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.