FINRA Disciplinary Actions

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

The Financial Industry Regulatory Authority (FINRA) has barred Douglas John McCauley (CRD #1257811) of Arlington, Vermont, from associating with any FINRA member firm in any capacity after he failed to provide documents requested during an investigation into his outside business activities. On December 8, 2025, FINRA issued a Letter of Acceptance, Waiver, and Consent (AWC)