James Michael Begale (CRD #16874, Registered Representative, Lombard, Illinois) submitted a Letter of Acceptance, Waiver, and Consent in which he was fined $5,000 and suspended from association with any NASD member in any capacity for 90 days. The fine must be paid before Begale reassociates with any NASD member following the suspension or before requesting relief from any statutory disqualification. Without admitting or denying the allegations, Begale consented to the described sanctions and to the entry of findings that he affixed a public customer's initials to a new account form and submitted the form to his member firm without the customer's knowledge or consent. Begale's suspension began June 6, 2005, and will conclude September 3, 2005. (NASD Case #C8A050032)

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