Robert Lee Mandeville (CRD # 2662306, Registered Representative, Newport Beach, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $35,000 and suspended from association with any FINRA member in any capacity for five months. The fine must be paid either immediately upon Mandeville’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier. Without admitting or denying the findings, Mandeville consented to the described sanctions and to the entry of findings that he executed unsuitable and unauthorized trades in a customer’s account that were inconsistent with the customer’s written investment guidelines. The findings stated that Mandeville made discretionary trades in the customer’s account without written authorization. The suspension is in effect from December 7, 2009, through May 6, 2010. (FINRA Case # 2008012644601)