David Michael Rozzano (CRD # 2027455, Registered Principal, Syracuse, New York) 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, Rozzano consented to the described sanction and to the entry of findings that he misappropriated approximately $178,000 from public customers by persuading them to withdraw funds from their existing variable annuities on the pretense that he would invest the proceeds in other securities, but instead, he converted the funds for his own use and benefit. (FINRA Case # 2007009262101)