Michael Andrew DeMaria (CRD #6020527, Carmel Valley, California) submitted an AWC in which he was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in any capacity for 20 months. Without admitting or denying the findings, DeMaria consented to the sanctions and to the entry of findings that without a customer’s knowledge or consent, he caused the transfer of approximately $38,000 in mutual fund assets from a customer’s account at a member firm into a new account established in the customer’s name at DeMaria’s member firm. The suspension is in effect from June 15, 2015, through February 14, 2017. (See, FINRA Case #2013039601702).