この人かしら? Matthew Nguyen Littauer (CRD #2027330, Registered Principal, Central Hong Kong, China) submitted a Letter of Acceptance, Waiver, and Consent in which he was fined $20,000 and suspended from association with any NASD member in any capacity for 30 days. Without admitting or denying the allegations, Littauer consented to the described sanctions and to the entry of findings that he allowed a member firm to open new customer accounts using his representative number with the firm for public customers whose new accounts were solicited by persons not registered with the firm. The findings also stated that Littauer allowed the firm to use his representative number on transactions for public customers that were solicited by persons not registered with the firm and who provided the firm with instructions for the transactions. NASD also found that the firm did not have written authorization from the customer that was approved by a principal of the firm, authorizing the firm to accept the trade authorization from the unregistered person, and Littauer failed to speak with the customers about the transactions prior to their execution. Furthermore, NASD found that Littauer's actions of allowing the firm to use his registered representative number in this manner caused the firm to create and maintain inaccurate books and records reflecting that Littauer was the registered representative for the customers who solicited the new accounts and transactions.