Jonathan Dominic Soranno (CRD # 5039149, Registered Representative, Astoria, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Soranno consented to the described sanction and to the entry of findings that he executed short-term mutual fund switch transactions in a customer’s non-discretionary IRA account without the customer’s knowledge and authorization. The findings stated that to conceal his conduct, Soranno failed to send trade confirmations and prospectuses to the customer, failed to obtain mutual fund switch letters, and provided misleading responses to his firm’s inquiries about the propriety of the trading in the customer’s account. The findings also stated that the transactions were unsuitable given the customer’s long-term investment goals and objectives, and caused the customer to suffer losses and incur commissions and fees, including $3,280 in commission payments to Soranno.The findings included that Soranno provided misleading information on employment application documents submitted to another member firm.