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Case Summary

MILLER GROUP LLC THE

NFA 08BCC00020

NFA ID: 0367351

Respondent/Effective Date Summary

NFA ID	Respondent	Effective Date
0367351	MILLER GROUP LLC THE	11/06/2008
0225842	MILLER, FRANCIS PAUL	11/06/2008

Rule Summary

NFA ID	Respondent	Rule Type
0367351	MILLER GROUP LLC THE	• C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR
		• C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS
		• C.R.2-5 - FAILURE TO COOPERATE W/ NFA
0225842	MILLER, FRANCIS PAUL	• C.R.2-4 - HIGH STDS. OF COMMERCIAL HONOR
		• C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS
		• C.R.2-5 - FAILURE TO COOPERATE W/ NFA

Committee Summary

NFA ID	Respondent	Committee
0367351	MILLER GROUP LLC THE	• BUSINESS CONDUCT COMMITTEE
0225842	MILLER, FRANCIS PAUL	• BUSINESS CONDUCT COMMITTEE

Action Summary

NFA ID	Respondent	Action Types
0367351	MILLER GROUP LLC THE	• GENERAL CONDUCT
		• SALES PRACTICE
0225842	MILLER, FRANCIS PAUL	• GENERAL CONDUCT
		• SALES PRACTICE

Penalty/Event Summary

NFA ID	Respondent	Penalty/Event	Event Date
0367351	MILLER GROUP LLC THE	• PERMANENT BAR FROM NFA MEMBERSHIP	10/22/2008
		• PERMANENT BAR FROM PRINCIPAL STATUS	10/22/2008
0225842	MILLER, FRANCIS PAUL	• PERMANENT BAR FROM NFA ASSOCIATE MEMBERSHIP	10/22/2008
		• PERMANENT BAR FROM NFA MEMBERSHIP	10/22/2008
		• PERMANENT BAR FROM PRINCIPAL STATUS	10/22/2008

Narrative Summary

Narrative for 0367351 - MILLER GROUP LLC THE

**TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**

COMPLAINT:

On August 18, 2008, NFA issued a Complaint charging The Miller Group and Miller with failure to cooperate with NFA in an NFA audit and misappropriating funds belonging to fund participants.

DECISION:

On October 22, 2008, The Miller Group was permanently barred from NFA membership and from being a principal of an NFA Member; and Miller was permanently barred from NFA membership and associate membership and from being a principal of an NFA Member.

Narrative for 0225842 - MILLER, FRANCIS PAUL

**TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.**

COMPLAINT:

On August 18, 2008, NFA issued a Complaint charging The Miller Group and Miller with failure to cooperate with NFA in an NFA audit and misappropriating funds belonging to fund participants.

DECISION:

Case Documents Summary

NFA ID	Respondent	Document Type
0367351	MILLER GROUP LLC THE	COMPLAINT
0367351	MILLER GROUP LLC THE	DECISION
0225842	MILLER, FRANCIS PAUL	COMPLAINT
0225842	MILLER, FRANCIS PAUL	DECISION

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