Scott Howard Weissman (CRD # 2664118, Registered Representative, Miami, Florida) was barred from association with any FINRA member in any capacity and ordered to pay $16,000, plus interest, in restitution to a public customer. The sanctions were based on findings that Weissman transferred $30,000 from a customer’s securities account to the bank account of a movie production company for which he was the president, thereby converting the funds to his own use and benefit. The findings stated that Weissman executed a transaction in customers’ joint account without the customers’ knowledge or consent. The findings also stated that Weissman offered and sold securities that were not exempt from registration and for which no registration statement was in effect, in violation of Section 5 of the Securities Act of 1933. (FINRA Case # 2005001067201)

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