John Gilbert Marshall Jr. (CRD # 2219233, Registered Representative, Mill Valley, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the findings, Marshall consented to the described sanctions and to the entry of findings that he engaged in a private securities transaction despite his member firm’s denial of authorization because the size of the investment would concentrate too much of a trust’s assets in a single investment.