NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

Don Michael Roman
AWC/2006006777802

Roman engaged in private securities transactions outside the course and scope of his employment with a member firm without providing his firm with the requisite notice. Roman facilitated investments by assisting in the transfer of funds to companies to fund the purchase of securities, forwarded applicable private placement memoranda and subscription agreement forms, or communicated with the companies on behalf of individuals.

Don Michael Roman : No Fine in light of financial status; Suspended 1 month