Scott Allan Shapiro (CRD # 2687108, Registered Principal, Syosset, New York) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Shapiro consented to the described sanction and to the entry of findings that he caused his member firm to charge a $100 service fee to approximately 3,000 customers who had not been provided with prior written notice of the service fee. The findings stated that Shapiro willfully failed to amend his Form U4 and disclose material information on his Form U4. The findings also stated that Shapiro failed to respond to FINRA requests for information. (FINRA Case # 2007009179401)

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