James Scott Stanley (CRD # 722614, Registered Representative, Oklahoma City, Oklahoma) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for six months. The fine must be paid either immediately upon Stanley’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, Stanley consented to the described sanctions and to the entry of findings that he engaged in outside business activities, for compensation, without providing written notice to his member firm. The findings stated that Stanley did not execute the transactions through his member firm’s affiliated insurance company as the firm’s compliance procedures required. The suspension is in effect from December 7, 2009, through June 6, 2010. (FINRA Case # 2007009216001)

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