Dick Eugene Blakeley (CRD # 854748, Registered Representative, Mountain View, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 15 business days. Without admitting or denying the findings, Blakeley consented to the described sanctions and to the entry of findings that he exercised discretion in public customers’ accounts designated as non-discretionary by his member firm and without the customers’ written authorization.

The suspension was in effect from January 5, 2009, through January 26, 2009. (FINRA Case # 2007009361401)