Michael William Keffler (CRD #1754242, Registered Principal, Lolo, Montana) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any NASD member in any capacity for two years. The fine must be paid before Keffler reassociates with any NASD member following the suspension, or before he requests relief from any statutory disqualification. Without admitting or denying the findings, Keffler consented to the described sanctions and to the entry of findings that, while taking the Series 53 qualifications examination, he attempted to possess unauthorized materials for use during the examination.
The suspension in any capacity is in effect from January 16, 2007, through January 15, 2009. (NASD Case #2006004480301)

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