William Franklin Herndon (CRD #1984310, Registered Principal, Wichita, Kansas) 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 60 days. Without admitting or denying the allegations, Herndon consented to the described sanctions and to the entry of findings that he engaged in private securities transactions totaling $112,000 without notifying his member firm of the transactions and his role therein, and without receiving prior written approval from his member firm. Herndon's suspension will begin January 18, 2005, and will conclude at the close of business March 18, 2005. (NASD Case #C04040057)

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