FINRA Disciplinary Actions

The Financial Industry Regulatory Authority (FINRA) has barred Richard Stanislaus Routie (CRD #4379905) of Orlando, Florida, from associating with any FINRA member firm in any capacity after he refused to appear for on-the-record testimony during a regulatory investigation. On December 12, 2025, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case #2023079368801.

The Financial Industry Regulatory Authority (FINRA) has barred Brian Boyer Davis (CRD #6762567) of Tulsa, Oklahoma, from associating with any FINRA member firm in any capacity after he refused to appear for on-the-record testimony during a regulatory investigation. On December 12, 2025, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case #2024083413502.

The Financial Industry Regulatory Authority (FINRA) has barred Eric A. Fiallo (CRD #5123703) of Miramar, Florida, from associating with any FINRA member firm in any capacity after he refused to provide documents requested during a regulatory investigation. On December 11, 2025, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case #2025086256001. Without

The Financial Industry Regulatory Authority (FINRA) has barred Jennifer H. Ceterko (CRD #3091599) of Wayne, New Jersey, from associating with any FINRA member firm in any capacity after she refused to provide documents and testimony during a regulatory investigation. On December 9, 2025, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case

The Financial Industry Regulatory Authority (FINRA) has barred William Klatoff Weinstein (CRD #462058) of Kilauea, Hawaii, from associating with any FINRA member firm in any capacity after he failed to provide documents and information requested during a regulatory investigation. On December 8, 2025, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC) under Case