SCOTT H. WEISSMAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/06/2007: FINRA OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SCOTT H. WEISSMAN, General Securities Representative CRD No. 2664118, Respondent. Disciplinary Proceeding No. 2005001067201 Hearing Officer - COMPLAINT The Department of Enforcement alleges: Summary On or about December 23, 2004, while employed with former FINRA member firm Cardinal Capital Management, Inc. ("CCM") as a General Securities Representative, Scott Weissman ("Weissman" or "Respondent") converted to his own
02/04/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SCOTT H. WEISSMAN (CRD No. 2664118), Respondent. Disciplinary Proceeding No. 2005001067201 DEFAULT DECISION Hearing Officer-SW Dated: February 4,2008 Respondent is barred from associating with any member firm in any capacity for: (1) converting to his own use and benefit $30,000 from customer RB's securities account,
Reference 2005001067201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2664118 |
Other names1
Also known as1
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