Tim earned Bachelor of Arts degrees in Political Economy and Accounting from Whitworth College in Spokane, WA. He was previously political director for Republican Voters Against Trump and communications director for Jeb Bush 2016. Tim has a broad based understanding of regulatory framework applicable to broker-dealers. Tim Miller, Author at The Bulwark Tim Miller Tim Miller is The Bulwark ’s writer-at-large and the author of the best-selling book Why We Did It: A Travelogue from the Republican Road to Hell. Tim was also a Vice President, Market Regulation at the Pacific Exchange in San Francisco, with responsibilities over the equities and options trading floors. Former Republican political operative Tim Miller answers the question no one else has fully grappled with: Why did normal. Among other things, Tim conducted and managed FINRA financial, sales practice and cause examinations on member-firms and associated persons, managed the regulatory programs for FINRA’s San Francisco District Office and the membership application program for the western United States. Investments and portfolios are a means to an end, whether the objective is a comfortable retirement, a. He held positions of Compliance Examiner, Examination Manager, Associate Director. He has significant experience with complex litigation before the West Virginia Mass Litigation Panel and the Supreme Court of Appeals of West Virginia. Tim offers a solutions based approach to investing. Tim’s experience includes working with FINRA for over 25 years. Tim Miller serves as a Managing Director at RND Compliance providing an array of broker-dealer and investment advisor related compliance services. Anti-Money Laundering Exams and Independent Testing.Continuing Membership Applications filed under FINRA Rule 1017 (KPRC) GALVESTON COUNTY, Texas Tim Miller, founder of Texas EquuSearch, won a default judgment in his 2014 wrongful death lawsuit filed against Clyde Edwin Hedrick.
New Membership applications filed under FINRA Rule 1013.Regulatory Examination Preparation and Remediation.
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