Former broker Mark Douglas Weindling was barred from associating with any FINRA (Financial Industry Regulatory Authority) member in any capacity yesterday after he refused to comply with FINRA's multiple requests for information.
Mr. Weindling, a registered broker with JHS Capital Advisors since 2012, was terminated by the firm on On May 16, 2014 for executing transactions in a deceased client's account. The Form U5 filed by JHS also stated that Mr. Weindling forged the deceased customer's signature on at least two separate occasions.
If a FINRA member firm or broker receives a request for documents and/or information from the regulator, they are required to respond in a timely manner. After two separate written requests for information were sent to Mr. Weindling, he called and told FINRA staff that he received the two requests, but had no intention of providing any of the requested documentation or information.