Dale Robert Aldieri (CRD # 1230340, Registered Representative, Middletown, Connecticut) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $15,000 and suspended from association with any FINRA member in any capacity for six months. The fine must be paid either immediately upon Aldieri’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, Aldieri consented to the described sanctions and to the entry of findings that he performed certain supervisory functions requiring principal registration without being registered with FINRA in that capacity.

The suspension is in effect from December 15, 2008, through June 14, 2009. (FINRA Case # 2006003806201)