HERBERT N. WEINSTEIN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050358801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Herbert N. Weinstein, Respondent CRD No. 1420618 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Herbert N. Weinstein ("Weinstein"), 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
Reference 2016050358801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1420618

Other names1

Also known as1

HERBERT NEIL WEINSTEIN

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