Michael Scott Lavolpe of New York New York a stockbroker formerly registered with Meyers Associates L.P. has been sanctioned by Financial Industry Regulatory Authority (FINRA) on July 25, 2019 founded on accusations of Lavolpe’s failure to comply with a customer initiated investment related arbitration award. #deadbeat In particular, Lavolpe was subject of a customer initiated…
Matthew Angelo Siliato of New York New York a stockbroker formerly registered with Meyers Associates LP (a firm later known as Windsor Street Capital) is the subject of a customer initiated investment related arbitration claim which was settled for $14,999.00 in damages based upon accusations that while Siliato was employed by Meyers Associates LP, bad…
Jovannie Aquino (also known as John Aquino) a stockbroker formerly registered with Meyers Associates LP (also known as Windsor Street Capital LP) has been barred by Securities and Exchange Commission (SEC) from being a securities broker or investment advisor or otherwise associating with any securities broker dealers or investment advisories according to an Order Instituting…
Naveed Akhtar Khan (also known as Nicholas Khan) of Staten Island New York a stockbroker formerly employed by Meyers Associates L.P. has been barred by Securities Exchange Commission (SEC) from being an investment adviser or stockbroker or working at firms advising investors or selling investors securities according to an Order Instituting Administrative Proceedings Pursuant to…
William David Nelson of New York New York a stockbroker formerly registered with Meyers Associates L.P. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Nelson failed to comply with a FINRA investigation into accusations that he effected excessive and unsuitable trades in a…
Bruce Meyers of New York New York a broker formerly registered with Meyers Associates L.P. (now known as Windsor Street Capital L.P.) has been fined $20,000.00, barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity, and suspended from associating with any FINRA member for six months according to a…
John Natale Cucinella of New York New York a stockbroker formerly registered with Meyers Associates, L.P. and advisor employed by Mackrow Asset Management Group is referenced in a Alabama Securities Commission Cease and Desist Order based upon the Commission’s findings that Cucinella made unwarranted statements to a customer about investment returns and engaged the customer…
Nas Adel Allan of New York New York a stockbroker formerly registered with Meyers Associates L.P. (now known as Windsor Street Capital LP) has been fined $2,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officers Order Accepting Offer of Settlement…
Windsor Street Capital L.P. (formerly known as Meyers Associates L.P.) a brokerage firm headquartered in New York New York has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that the firm engaged in a scheme to defraud investors. Department of Enforcement v. Windsor Street Capital LP et al. Disciplinary Proceeding No….
John David Telfer of New York New York a chief compliance officer of Meyers Associates L.P. is the subject of a customer initiated investment related arbitration claim where the customer requested $88,671.00 in damages based upon allegations that (1) transactions were executed in the customer’s account that were not suitable for the customer (2) trades…
Windsor Street Capital (formerly Meyers Associates, L.P.), a brokerage firm headquartered in New York, New York, as well as its stockbrokers, Nas Adel Allan and Gregory J. Anastos, were charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging, inter alia, that customers’ investment accounts were traded on an excessive and…
William David Nelson, of New York, New York, a stockbroker formerly registered with Meyers Associates, L.P., has been fined $5,000.00 by the Commissioner of Securities and Insurance, Montana State Auditor, pursuant to a Consent Agreement and Final Order containing findings that Nelson traded excessively in the accounts of three residents of Montana. In the Matter…
Joseph Albert Ambrosole, of New York, New York, a stockbroker formerly registered with Meyers Associates, L.P., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected trades in customer accounts on an unauthorized basis. Letter of Acceptance, Waiver…
Mark Zeltser, of Brooklyn, New York, a stockbroker formerly registered with Meyers Associates, L.P., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to respond to a FINRA information request. Letter No. 2014039091902 (Nov. 9, 2015). Prior to his…
Honetta C. Kao, of Brooklyn, New York, a stockbroker formerly registered with Meyers Associates, L.P., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Kao failed to respond to FINRA’s request for Kao’s information. Case No. 2014039091901 (Nov. 9, 2015). Prior to Kao’s…
Michael S. Lavolpe, of New York, New York, a stockbroker formerly registered with Meyers Associates, L.P., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity per an Office of Hearing Officers’ Default Decision containing findings that Lavolpe failed to provide FINRA with a response to its requests…
Thomas A. Guerriero, of New York, New York, a stockbroker formerly registered with Meyers Associates, L.P., has been named in a customer initiated investment related arbitration claim on February 24, 2016, in which the customer has requested $500,000.00 in damages based upon allegations that Guerriero breached his fiduciary duty to the customer, made misleading and…
Michael Lavolpe, of New York, New York, a stockbroker for Meyers Associates, L.P., is currently subject to four pending customer disputes. Particularly, on April 7, 2016, a customer lodged a dispute against Lavolpe, requesting $110,480.00 in damages in connection with allegations of unsuitability. On April 7, 2016, Lavolpe became subject to another customer dispute, in…
Francine A. Lanaia, of Hauppauge, New York, a stockbroker with Meyers Associates, L.P., and formerly Alexander Capital, L.P., was named in regulatory action by The State of Montana’s Securities Division on August 2, 2016, in which Lanaia was alleged to have failed to supervise two registered representatives, Joseph Connelly and William Gennity. The two individuals,…
Anthony Mastroianni, Jr., of New York, New York, a stockbroker with Meyers Associates, L.P., was named in a pending customer dispute, in which the customer has requested $2,000,000.00 in damages amid allegations against Mastroianni of breach of fiduciary duty, unsuitable investment recommendations, breach of contract, and churning of the customer’s account. Mastroianni is also subject…
Joseph M. Thurnherr, of New York, New York, a stockbroker with Meyers Associates, L.P., was named in a pending customer dispute on June 23, 2016, in which the customer has requested $93,624.00 in damages after alleging that Thurnherr made unsuitable investment recommendations and over-concentrated the customer’s investment accounts from February through November of 2015. Public…
Matthew A. Siliato, of New York, New York, a stockbroker with Meyers Associates, L.P., was named in a pending customer dispute on June 23, 2016, in which the customer requested $250,627.60 in damages amid allegations against Siliato of making unsuitable investment recommendations. Siliato has also been named in another pending customer dispute on December 28,…
Another bucketshop broker bites the dust. John Buonocore, of New York, New York, a stockbroker with Meyers Associates, L.P., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he did not cooperate in a FINRA investigation into allegations of Buonocore’s trading abnormalities…
George Johnson, of Chicago, Illinois, a stockbroker for Meyers Associates, L.P., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity in connection with an Order Accepting Offer of Settlement containing findings that Johnson committed fraudulent market manipulation; fraudulent omission of material conflicts concerning purchases/sales of a security;…
Christopher Wynne, of Chicago, Illinois, a stockbroker with Meyers Associates, L.P., was fined $25,000.00, barred from acting as a principal in any Financial Industry Regulatory Authority (FINRA) member firm, and received a two-year suspension from associating with any FINRA member firm in any capacity per an Order Accepting Offer of Settlement containing findings that Wynne…