Casey G. Miller Email & Phone Number

Greater Chicago Area

• Limit the firm's risks associated with suspicious trading activity and order handling issues occurring in customer accounts.
• Investigate client trading and financial activity, prepare and draft regulatory correspondence, assist in arbitration/litigation preparation, file Suspicious Activity Reports, and develop knowledge about the firm’s.
• Prevent and expose situations that may potentially result in costly regulatory sanctions.
• Process regulatory requests received from the SEC, CFTC, FINRA, NFA, CME, and CBOE, along with various other foreign and domestic financial regulatory and law enforcement agencies.
• Assist the firm’s legal counsel in their defense against customer litigations and arbitrations by analyzing documents and records to help form arguments to rebut the client's allegation against the firm.
• Review accounts by analyzing login records, trade activity, communication records, account opening documents, surveillance reports, cashiering activity, and internet searches through various resources.

Windom, Minnesota

• Participated in hedging program to eliminate price risk using live cattle futures contracts
• Used technical analysis by means of trend following and momentum indicators, including RSI, MACD, ADX, and %R, to forecast short-term customer pricing
• Utilized fundamental analytics by monitoring corn, soybean, and wheat futures markets in addition to several USDA cattle reports to determine long-term business modeling
• Gained basic knowledge of the meat packing industry after rotating through multiple departments including finance, sales, human resources, marketing, and quality assurance
• Improved cattle carcass utilization by developing Excel model that interpreted customer purchase tendencies
• Created PowerPoint used in presentation to maintain company’s largest client representing 25% of total sales