2024081111101 Judah Spinner CRD 7039921 AWC vr (2025-1749687609144).pdf

Between June and December 2021 and January 2022 and January 2024, while associated with PFS Investments, Spinner participated in 41 private securities transactions without providing written notice to the firm, in violation of FINRA Rules 3280 and 2010. For these violations, he is suspended for 12 months from associating with any FINRA member in all capacities and fined $10,000.

Special Notice – 5/15/25

Summary

FINRA, as a self-regulatory organization, is informed by and benefits from engagement with and the expertise of our member firms, investors, and other interested parties on regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection.

2022073420401 Siebert Williams Shank & Co., LLC, CRD 42568 AWC gg (2025-1749687609054).pdf

Between August 2021 and August 2023, Siebert violated MSRB Rule G-14 by failing to report the correct time of trade to the MSRB's Real-Time Transaction Reporting System (RTRS) for approximately 12,100 municipal securities transactions and by failing to report to the RTRS approximately 4,700 additional municipal securities transactions. Siebert also violated MSRB Rule G-27 by failing to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to ensure compliance with MSRB Rule G-14.
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