Philip James Atteberry (CRD # 1243495, Registered Principal, BatonRouge, Louisiana) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $15,000 and suspended from association with any FINRA member in any capacity for 90 days. The fine must be paid either immediately upon Atteberry’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier. Without admitting or denying the findings, Atteberry consented to the described sanctions and to the entry of findings that he exercised discretion in public customer accounts without written discretionary authority and without his member firm’s acceptance of the accounts as discretionary.

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