Theodore P. Williams, East Earl, Pa., for a year and one day for failing to act in a client’s interests.
William M. Swayne II, Seattle, Wash., one year for selling clients unsuitable investments.
Adam J. Kuettel, Bentonvile, Ark., for 10 months because he assisted investors with the purchase of shares of stock and warrants in a public company through a private investment in public equity. He had previously been suspended and ordered to pay a $10,000 fine by Finra.
Sheldon Jay Harber, St. Louis, Mo., for five months for participating in private securities transactions without approval from his firm.
Douglas S. Miller, Toledo, Ohio, an interim suspension for participating in the sale of investments in limited liability companies to clients without providing written notice to his firm.
Bruce M. Weinstein, Boca Raton, Fla., an interim suspension for submitting false expense reports to his firm and accepting reimbursements for ineligible expenses.
Public letters of admonition were issued to Charles J. McCarn, Birmingham, Ala.; Edward A. Rusowicz, Irvine, Calif.; Christopher S. Scott, Colorado Springs; Brian Sullivan, Alpharetta, Ga., and Scott A. Larsen, Kenosha, Wis.