Guy Christian Durand Jr. (CRD # 3213856, Registered Representative, St. Albans, New York) 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 three months. Without admitting or denying the findings, Durand consented to the described sanctions and to the entry of findings that he effected private securities transactions away from his member firm by soliciting firm customers to purchase securities in a private placement. The findings stated that Durand failed to provide written notification to his firm prior to effecting these transactions.
The suspension is in effect May 17, 2010, through August 16, 2010.

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