Dina Mistry (CRD # 5332701, Associated Person, Lake Hiawatha, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $5,000 and suspended from association with any FINRA member in any capacity for six months. The fine must be paid either immediately upon Mistry’s reassociation with a FINRA member firm following her 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, Mistry consented to the described sanctions and to the entry of findings that she willfully failed to disclose material information on her Form U4.

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