Allan Bruce Rosenthal (CRD # 2252495, Registered Representative, Columbus, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Rosenthal consented to the described sanction and to the entry of findings that he effected unauthorized transactions and/or failed to execute sell orders in public customer accounts. The findings stated that Rosenthal marked all of the order tickets for the unauthorized trades as unsolicited when the trades, in fact, were solicited. The findings also stated that Rosenthal sent misleading and unapproved emails to customers from his personal email address, contrary to NASD rules and his member firm’s policy requiring that all written correspondence be sent from the firm’s system and prohibiting the recommendations of securities not followed by the firm’s research. The findings also included that Rosenthal failed to provide prompt written notice to his firm of his outside business activities. (FINRA Case # 2007009427201)