Alan Lawrence Jacobs (CRD # 1032488, Registered Principal, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any FINRA member in any principal capacity for 30 business days. Without admitting or denying the findings, Jacobs consented to the described sanctions and to the entry of findings that he failed to properly supervise the private securities transactions of registered representatives at his member firm and failed to ensure that the transactions were recorded on the firm’s books and records.