CRAIG G. LANGWEILER

08/25/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010515001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Craig G. Langweiler, Respondent General Securities Representative CRD No. 841897 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

Reference 2007010515001finra.orgdata-portal.finra.org

09/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015073801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Craig G. Langweiler, Respondent General Securities Representative CRD No.841897 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2008015073801data-portal.finra.orgfinra.org

12/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, DISCIPLINARY PROCEEDING V. No. 2011029549201 Craig G. Langweiler (CRD No. 841897), Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March 2008 and July 2013, while registered with FINRA through various member firms, respondent Craig Langweiler willfully failed to amend his Uniform Application for Securities Industry Registration or Transfer ("Form U4") to time

03/17/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. CRAIG G. LANGWEILER (CRD No. 841897), Respondent. Disciplinary Proceeding No. 2011029549201 Hearing Officer-LOM HEARING PANEL DECISION March 17, 2017 Respondent willfully failed to timely disclose unsatisfied tax liens and judgments on his Form U4 in violation of Article V, Section 2(c) of FINRA's By-Laws, NASD IM-1000-1, FINRA Rules 1122 and 2010, and NASD Conduct Rule 2110. For this

Reference 2011029549201data-portal.finra.orgdata-portal.finra.orgfinra.org

07/24/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Craig Gary Langweiler (CRD No. 841897), Respondent. DISCIPLINARY PROCEEDING NO. 2014040347701 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period of November 19, 2013 through May 30, 2014 (the "Relevant Period"), while associated with Meyers Associates, L.P., now known as Windsor Street Capital, L.P. ("Meyers" or the "Firm"),1 Respondent Craig

12/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CRAIG GARY LANGWEILER (CRD No. 841897), Respondent. Disciplinary Proceeding No. 2014040347701 Hearing Officer–CC HEARING PANEL DECISION December 8, 2017 Respondent recommended and executed excessive and unsuitable trades in a customer’s account, in violation of FINRA Rule 2111 and 2010. For this misconduct, he is suspended for one year and fined $15,000. Respondent exercised

Reference 2014040347701finra.orgdata-portal.finra.orgdata-portal.finra.org