Adam Michael Stafford (CRD #4332433, Registered Representative, Canby, Oregon) 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 30 days. The fine must be paid before Stafford reassociates with any NASD member following the suspension, or before he requests relief from any statutory disqualification. Without admitting or denying the findings, Stafford consented to the described sanctions and to the entry of findings that he settled customer complaints and did not notify his member firm regarding the settlements.
The suspension in any capacity was in effect from January 16, 2007, through February 14, 2007. (NASD Case #2006004408901)

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