Tag Archives: Meyers Associates L.P.

FINRA Sanctions Meyers Stockbroker For Non-Compliance

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 […]

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Investors Sue Meyers Associates For Churning

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 […]

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Meyers Stockbroker Barred By SEC For Fraud

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 […]

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Regulator Nails Meyers Stockbroker For Excessive Trading

Xavier Alexander Honablue of New York New York a stockbroker formerly registered with Meyers Associates L.P. has been fined $90,000.00 and permanently prohibited from engaging in securities transactions or investment advisory activities in the State of Illinois according to a State of Illinois Secretary of State Securities Department Order of Prohibition containing findings that Honablue […]

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SEC Bars Meyers Associates Stockbroker For Fraud

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 […]

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FINRA Bars Stockbroker For Obstructing Boilerroom Investigation

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 […]

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Meyers Associates Supervisor Barred For Failure To Supervise

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 […]

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Regulator Sanctions Meyers Broker For Unregistered Securities

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 […]

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Meyers Associates Stockbroker Suspended For Misconduct

June 12, 2018  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

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 […]

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FINRA Charges Windsor Street With Securities Fraud

May 31, 2018  |   Posted by :   |   Investment and Regulatory News, Securities Fraud   |   0 Comments

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. […]

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Meyers Associates Sued By Customer For Suitability

May 01, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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Regulator Charges Windsor Street For Excessive Trading

August 26, 2017  |   Posted by :   |   Boilerroom Sales, Churning   |   0 Comments

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 […]

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Meyers Associates Stockbroker Excessive Trading

June 13, 2017  |   Posted by :   |   Churning, Excessive Trading, Investment and Regulatory News   |   0 Comments

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 […]

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Meyers Associates Stockbroker Suspended For Unauthorized Trading

February 27, 2017  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

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 […]

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Meyers Associates Stockbroker Barred In Investigation

February 13, 2017  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

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 […]

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Meyers Associates Stockbroker Barred In Investigation

February 02, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

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 […]

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Meyers Associates Stockbroker Barred For In FINRA Investigation

December 17, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

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 […]

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Meyers Associates Named In Unsuitability Claim

November 18, 2016  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

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 […]

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Meyers Associates Stockbroker Sued By Customers

September 17, 2016  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

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 […]

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Meyers Associates Stockbroker Lanaia Named In Regulatory Action

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, […]

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Meyers Associates Stockbroker Mastroianni Named in Suitability Claim

September 16, 2016  |   Posted by :   |   Breach of Fiduciary Duty, Investment and Regulatory News   |   0 Comments

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 […]

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Meyers Associates Stockbroker Thurnherr Named in Unsuitability Arbitration Claim

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 […]

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Meyers Associates Stockbroker Siliato Named In Unsuitability Claim

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, […]

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Meyers Associate Stockbroker Barred In Investigation

August 17, 2016  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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Meyers Associates Broker Barred For Securities Fraud

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; […]

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Meyers Associates Principal Suspended For Failure To Supervise

February 23, 2016  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

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 […]

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