John Christopher Trimmings (CRD #2257118, Registered Principal, Gansevoort, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any NASD member in any capacity. Without admitting or denying the findings, Trimmings consented to the described sanction and to the entry of findings that he received $60,821.89 from a public customer for investment. The findings stated that without the customer’s knowledge or consent, Trimmings misappropriated at least $56,000 of the funds for his own use and benefit. (NASD Case #2006006124001)

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