CLIENT ALLEGES MISREPRESENTATION REGARDING VARIABLE ANNUITY INVESTMENT. ACTIVITY DATES 09/20/2007-09/20/2007.

$19,269.70

FINRA

NASD RULES 2110, 2510: WEINSTEIN EXERCISED TIME AND PRICE DISCRETION IN A CUSTOMER'S ACCOUNT ON A DATE OTHER THAN THE DATE IN WHICH THE ORDER WAS PLACED WITHOUT OBTAINING FROM THE CUSTOMER SIGNED AND DATED WRITTEN AUTHORIZATION GRANTING SUCH DISCRETION.

Acceptance, Waiver & Consent(AWC)

Civil and Administrative Penalty(ies)/Fine(s)

$5,000.00

WITHOUT ADMITTING OR DENYING THE FINDINGS, WEINSTEIN CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS, THEREFORE HE IS FINED $5,000. 1.AT THE TIME THE FINE BECOMES DUE AND PAYABLE, WEINSTEIN WILL MAKE A DOWN PAYMENT OF 10% OF THE TOTAL FINE OR $500. 2.BEGINNING IN THE MONTH FOLLOWING THE DOWN PAYMENT AND CONTINUING EACH MONTH THEREAFTER UNTIL THE FINE, PLUS INTEREST, IS PAID IN FULL, WEINSTEIN WILL PAY THE AMOUNT OF $187.50.

WITHOUT ADMITTING OR DENYING THE FINDINGS, WEINSTEIN CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS, THEREFORE HE IS FINED $5,000. 1.AT THE TIME THE FINE BECOMES DUE AND PAYABLE, WEINSTEIN WILL MAKE A DOWN PAYMENT OF 10% OF THE TOTAL FINE OR $500. 2.BEGINNING IN THE MONTH FOLLOWING THE DOWN PAYMENT AND CONTINUING EACH MONTH THEREAFTER UNTIL THE FINE, PLUS INTEREST, IS PAID IN FULL, WEINSTEIN WILL PAY THE AMOUNT OF $187.50.