Daniel Joseph Roberts (CRD # 4588649, Registered Representative, Tampa, 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 capacity for 100 days. The fine must be paid either immediately upon Roberts’ 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, Roberts consented to the described sanctions and to the entry of findings that he borrowed $10,000 from a public customer without written approval in accordance with his firm’s written procedures, and engaged in an outside business activity with the expectation of compensation without prompt notice, written or otherwise, to his member firm.

The suspension is in effect from January 5, 2009, through April 14, 2009. (FINRA Case # 2007008016201)