Joseph James Vastano, Jr. (CRD #1623074, Registered Representative, Solana Beach, California) was fined $62,000 and suspended from association with any NASD member in any capacity for 18 months. The SEC imposed the sanction following appeal of a NAC decision. The sanctions were based on findings that Vastano engaged in private securities transactions without providing prior written notice to, or receiving prior written approval from, his member firm. Vastano's suspension began November 1, 2004, and will conclude April 30, 2006. (NASD Case #C3A020013)

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