Ellis Gerald Halliburton (CRD # 4505479, Registered Representative, Zebulon, North Carolina) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for six months. In light of Halliburton’s financial status, no monetary sanctions have been imposed. Without admitting or denying the findings, Halliburton consented to the described sanction and to the entry of findings that he participated in a private securities transaction, which consisted of his recommendation that a customer invest $10,000 in an entity, while failing to provide his member firm with prior notice of this transaction. The findings stated that Halliburton’s recommendation to the customer and her resulting investment of $10,000 were unsuitable given her financial situation and needs.
The suspension is in effect from April 19, 2010, through October 18, 2010.

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