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2025085169301 William K. Weinstein CRD 462058 AWC lp (2026-1767831598725).pdf
In September 2025, Weinstein failed to provide documents and information requested
pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and
is barred from associating with any FINRA member in all capacities.
2025085574001 Douglas J. McCauley CRD 1257811 AWC vr (2026-1767831598732).pdf
McCauley refused to provide information and documents requested pursuant to FINRA Rule 8210. As a result, McCauley violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...
23-02515(3).pdf
Motion to Vacate