ALAN DAVID WEINER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/24/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072005008701 TO: Department of Enforcement NASD RE: STG Secure Trading Group, Inc., Respondent Broker-Dealer [CRD No. 41216] Alan David Weiner, Respondent General Securities Principal [CRD No. 2537609] Scott David Budner, Respondent General Securities Principal [CRD No. 2290260] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference E072005008701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2537809

Other names1

Also known as1

ALAN DAVID WEINER, MR.

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