Lacy McClure Walthall, III (CRD #713269, Registered Regulation, Wake Forest, North Carolina) was fined $35,000, suspended from association with any NASD member in any capacity for one year, and ordered to requalify by exam as a general securities representative (Series 7) before re-entering the securities industry. The sanctions were based on findings that Walthall engaged in outside business activities and private securities transactions without prompt written notification to his member firm and his firm's written approval to engage in the private securities transactions. Walthall's suspension began December 20, 2004, and will conclude at the close of business December 19, 2005. (NASD Case #C07040048)

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