Dale Eugene Shields II (CRD # 5101892, Associated Person, Middletown, Ohio) submitted an Offer of Settlement in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the allegations, Shields consented to the described sanctions and to the entry of findings that he provided false information on his Form U4. (FINRA Case # 2006005506601)

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