FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.
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
Navigating the 2026 Regulatory Oversight Report: Key Insights from FINRA Leadership
On this episode, FINRA leaders discuss the 2026 Regulatory Oversight Report, covering emerging threats from AI and crypto, evolving fraud schemes, cybersecurity risks, effective practices, and more. Learn how firms can leverage the information in the report for strengthened compliance planning.
FINRA Publishes 2026 Regulatory Oversight Report to Empower Member Firm Compliance
Report Highlights Trends in Generative AI, Small Cap and Cyber-Enabled Fraud, Among Other Topics