Richard Vincent Patrick (CRD # 2202549, Registered Principal, Little Silver, New Jersey) 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, Patrick consented to the described sanction and to the entry of findings that he engaged in an outside business activity without prompt written notice to his member firm; conducted private securities transactions without prior written notice to, or prior written approval from, his member firms; and failed to respond to FINRA requests for information and documents.