Joel Martin Weiner
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044783402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joel Martin Weiner, Respondent General Securities Representative CRD No. 1648997 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Joel Martin Weiner submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2015044783402finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1648997 |
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