Frederic Weiner Fined by State of Florida

Frederic Weiner (CRD #: 4404905), a broker registered with LPL Financial, was the subject of a state regulatory action, according to his BrokerCheck record, accessed on June 22, 2025. If you want to know more about his alleged conduct as a broker, read on.

Florida Regulatory Action

On May 5, 2025, the Florida Office of Financial Regulation alleged that Frederic Weiner violated Florida Statutes Rule 517.12(3) by rendering investment advice in the state without being registered with the Office of Financial Regulation as an associated person of LPL Financial.

The state ordered Frederic Weiner to cease and desist from violations of the Florida Statutes and to pay a fine of $9,375. 

Florida Statutes

Florida Statutes Rule 517.12(3) prohibits investment advisers and their associated persons from engaging in business in the state without registering with the Office of Financial Regulation.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

What are blue sky laws?

Blue sky laws are state securities regulations that provide investors with an added layer of protection against fraud. They typically also define the registration requirements for securities offered in the state.

Background Information

Frederic Weiner has passed the following exams:

• Securities Industry Essentials Examination – SIE
• Futures Managed Funds Examination – Series 31
• General Securities Representative Examination – Series 7
• Uniform Combined State Law Examination – Series 66

Frederic Weiner is a registered broker in six states and the District of Columbia. He is also a registered investment adviser in Florida and New Jersey.

He has also worked for the following firms:

• Ameriprise Financial Services (CRD#:6363)
• Citigroup Global Markets (CRD#:7059)
• Morgan Stanley DW (CRD#:7556) 

Kurta Law Can Help

If you worked with Frederic Weiner and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.