NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

Daryl Gene Bank (Principal) and Gregory Dean Bodoh
OS/2008012955301)

Bank and Bodoh and misappropriated approximately $161,000 in commissions and other payments from Bank’s member firm for their own use. Bank directed his member firm to wire money from a subsidiary to an account Bodoh controlled;  Bodah, in turn, transmitted the majority of the funds to an entity Bank controlled and kept a portion for himself. Bank entered false information concerning securities transactions on his firm’s business records, willfully causing his firm to maintain inaccurate books and records. Bank and Bodoh provided false information in response to FINRA requests for information, and provided false and misleading testimony under oath in a FINRA on-the-record interview.

Bodoh participated in private securities transactions without notifying his member firm or obtaining its approval.

Daryl Gene Bank and Gregory Dean Bodoh: Barred