Dianne Marie Goedtel (CRD # 4690759, Registered Representative, Centereach, New York) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the findings, Goedtel consented to the described sanctions and to the entry of findings that she improperly altered a Mutual Fund Share Class Disclosures form for purposes of facilitating a married couple’s mutual fund transactions instead of having the couple execute new forms. The findings stated that Goedtel did not disclose to her member firm or the couple that she had altered the disclosure form.

The suspension was in effect from March 2, 2009, through April 13, 2009.