Jose E. Llopiz Feliciano (CRD # 5315653, Associated Person, Chicago, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for three months. The fine must be paid either immediately upon Feliciano’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, Llopiz Feliciano consented to the described sanctions and to the entry of findings that he failed to disclose a material fact on his Form U4.

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