Wanda Pittman Sears (CRD # 2214419, Registered Representative, Roanoke, Virginia) was suspended from association with any FINRA member in any capacity for six months for unauthorized trading, and was also suspended from association with any FINRA member in any capacity for six months for engaging in outside business activities without providing her member firm with prompt written notice. The suspensions will be served concurrently. In light of Sears’ financial status, no monetary sanction was imposed. The NAC imposed the sanctions in a remand decision after Sears had appealed a NAC decision to the SEC. The NAC based its sanctions on findings that Sears effected unauthorized securities transactions in customer accounts and participated in outside business activities without providing written notice to her member firm. The suspensions are in effect from October 19, 2009, through April 19, 2010. (FINRA Case # C0720050042)

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