Mr. Coulter submitted a Letter of Acceptance,Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be paid either immediately upon Coulter’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier.  Without admitting or denying the findings, Coulter consented to the described sanctions and to the entry of findings that he failed to provide FINRA with a complete response to requests for information and documents.

The suspension is in effect from September 8, 2009, through September 7, 2011.

(FINRA Case #2007008275501)