Daniel Alan Fowler (CRD # 3008473, Registered Representative, Snellville, Georgia) 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 five business days. Without admitting or denying the findings, Fowler consented to the described sanctions and to the entry of findings that he exercised discretion in public customers’ accounts without the customers’ prior written authorization and his member firm’s acceptance of the accounts as discretionary.

The suspension was in effect from January 5, 2009, through January 9, 2009. (FINRA Case # 2007010750201)