2021070405001 Jeffrey Paul Weiner CRD 2476604 AWC va (2022-1651458024314).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070405001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jeffrey Paul Weiner (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2476604 Pursuant to FINRA Rule 9216, Respondent Jeffrey Paul Weiner submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Daniel Reich Comment On Regulatory Notice 22-08

The concept behind interval funds is a higher return in exchange for non daily liquidity. While the concept appeals to clients with surplus liquidity, the regulatory oversight is poor All prospectuses I have read mislead the client and the FA to believe the investment may be redeemed on a specified date. What is never discussed is the optionality the fund has where they may limit redempyions to 5% of the fund on the redemption date.

2021072361901 Matthew A. Trueg CRD 6790614 AWC gg (2022-1651364419035).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072361901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Matthew A. Trueg (Respondent) General Securities Representative CRD No. 6790614 Pursuant to FINRA Rule 9216, Respondent Matthew A. Trueg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted
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