Mueller, Rudy Rinehart

Rudy Rinehart Mueller (CRD # 342122, Registered Representative, Dallas, Texas) 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 10 business days. Without admitting or denying the findings, Mueller consented to the described sanctions and to the entry of findings that he executed discretion in customers’ accounts without prior written authorization that his member firm accepted. In certain instances, Mueller exercised time and price discretion after the business day on which the customer granted authorization to purchase or sell a definite amount of a specified security, without the customers’ written authorization.

 
Goodman & Nekvasil, P.A., 14020 Roosevelt Blvd., Suite 808, P.O. Box 17709, Clearwater, FL 33762