Eugene Francis Roesser Jr. (CRD # 1074726, Registered Representative, North Potomac, Maryland) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $15,000 and suspended from association with any FINRA member in any capacity for 15 business days. Without admitting or denying the findings, Roesser consented to the described sanctions and to the entry of findings that he mismarked customer order tickets as unsolicited when, in fact, the orders were solicited, causing his firm’s books and records to be inaccurate. The findings stated that Roesser mismarked the orders rather than obtaining the necessary supervisory approval to solicit transactions in securities for which his firm did not have a research opinion. The findings also stated that Roesser engaged in discretionary trading in customers’ accounts without their written authorization and without his firm having designated the accounts as discretionary. The suspension was in effect from December 21, 2009, through January 12, 2010. (FINRA Case # 2007009463401)

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