FINRA

SEC SECTION 10(B) OF THE SECURITIES EXCHANGE ACT OF 1934, AND RULE 10B-5, FINRA RULE 2010, NASD RULES 2110, 2120: IN CONNECTION WITH CUSTOMERS' PURCHASE OF A PRIVATE PLACEMENT OFFERING, DIMAGGIO FALSELY REPRESENTED TO EACH OF THE CUSTOMERS, PRIOR TO THEM INVESTING IN THE OFFERING, THAT SHE HAD PERSONALLY INVESTED FUNDS WITH THE ISSUER; THEREFORE WILLFULLY VIOLATING SECTION 10(B) OF THE SECURITIES EXCHANGE ACT AND RULE 10B-5. BASED ON DIMAGGIO'S REPRESENTATION AND RECOMMENDATION, EACH OF THE CUSTOMERS INVESTED $60,000 IN THE OFFERING. IN ADDITIONAL, DIMAGGIO SETTLED AND/ OR ATTEMPTED TO SETTLE POTENTIAL CUSTOMER COMPLAINTS REGARDING UNDISCLOSED FEES, FAILING TO ADD A LIVING BENEFIT RIDER TO A VARIABLE ANNUITY AND MAKING UNSUITABLE INVESTMENT RECOMMENDATIONS, WITHOUT THE KNOWLEDGE OR APPROVAL OF HER MEMBER FIRM. FINALLY, DIMAGGIO EXCHANGED BUSINESS-RELATED E-MAILS WITH CUSTOMERS, USING AN E-MAIL ACCOUNT THAT WAS NOT APPROVED BY HER FIRM, THEREBY CAUSING HER FIRM TO VIOLATE ITS RECORDKEEPING REQUIREMENTS.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

All Capacities

1/27/2011

WITHOUT ADMITTING OR DENYING THE FINDINGS, DIMAGGIO CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THEREFORE, SHE IS BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY.