Jeffrey Paul Weiner (CRD #2476604, Mahopac, New York)

March 31, 2022 – An AWC was issued in which Weiner was fined $5,000 and suspended from association with any FINRA member in all capacities for 30 days. Without admitting or denying the findings, Weiner consented to the sanctions and to the entry of findings that he impersonated nine customers of his former member firm, during telephone calls to the firm’s insurance affiliate to obtain information about the customers’ existing variable life insurance policies. The findings stated that Weiner impersonated the customers to facilitate the transfer of their policies from his former firm to his new member firm, and ultimately four of them became Weiner’s customers at the new firm. Although the nine customers gave Weiner permission to obtain their information from the insurance affiliate, the customers did not authorize Weiner to impersonate them. The suspension was in effect from April 4, 2022, through May 3, 2022. (FINRA Case #2021070405001)