The allegations read: Without admitting or denying the findings, tramontano consented to the sanction and to the entry of findings that she permitted another individual, who had been suspended by finra, to engage in securities business while suspended. The findings stated that the individual chose not to inform most of his customers that he was going to be suspended; instead, he told his customers that tramontano would be working with him. Over the next year, tramontano was aware that the individual continued to engage in the securities industry while suspended by, among other things, communicating with customers, making securities recommendations to them, and placing trades on their behalf. Indeed, the individual, by using tramontano as the broker of record, was able to continue to act as a registered representative, unabated, in nearly all respects during his year-long suspension.
