Oller 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 sixmonths. The fine must be paid either immediately upon Oller’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, Oller consented to the described sanctions and to the entry of findings that he willfully omitted to disclose material facts on his Form U4.

The suspension is in effect from December 21, 2009, through June 20, 2010.

(FINRA Case #2008013628501)