According to FINRA, Roger Philip Turcotte (CRD #1180997), a registered representative based in Lake Worth, Florida, was fined $10,000, suspended from association with any FINRA member in all capacities for two months, and ordered to pay disgorgement of $3,696.97 in commissions plus interest. Without admitting or denying the findings, Turcotte consented to the sanctions and to the entry of findings that he caused his member firm to make and preserve inaccurate books and records by mismarking as unsolicited order tickets for equity transactions that he had actually recommended to his customers. The findings stated that four of the transactions Turcotte mismarked as unsolicited involved solicited purchases of low-priced over-the-counter (OTC) securities. His firm prohibited representatives from recommending such securities to their customers. Turcotte received $3,696.97 in commissions for these four transactions which, had he marked them accurately, would have been cancelled. The suspension was in effect from October 7, 2024, through December 6, 2024. This case illustrates a significant concern in the brokerage industry: the mismarking of trade tickets. When a broker marks a trade as "unsolicited," it means the customer initiated the trade idea. When marked as "solicited," it means the broker recommended the trade. This distinction matters enormously because firms often impose restrictions on what their brokers can recommend, particularly when it comes to risky, low-priced OTC securities. By mismarking these trades, Turcotte was able to circumvent his firm's prohibition on recommending these types of securities and earn commissions he would not have otherwise received. This type of conduct undermines the integrity of a firm's books and records and deprives the firm of the ability to properly supervise its representatives. Accurate record-keeping is a cornerstone of securities regulation, and mismarking trade tickets can mask patterns of unsuitable recommendations or other misconduct. For investors, this case highlights the importance of reviewing your trade confirmations carefully. If you did not initiate a trade idea but your confirmation shows the trade was "unsolicited," that discrepancy could be a red flag worth investigating. Investors should always ensure that their account records accurately reflect the nature of their interactions with their broker.