Carl A. Page (CRD # 710908, Registered Representative, Bountiful, Utah) 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 Page’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, Page consented to the described sanctions and to the entry of findings that he participated in private securities transactions, without prior written notice to, and authorization from, his member firm. The findings stated that Page failed to provide his firm with prompt written notice of his outside business activity.
The suspension is in effect from May 3, 2010, through November 2, 2010.

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