Tag Archives: Meyers Associates LP

FINRA Decides Enforcement Action Against Already Barred Firm

November 23, 2018  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Windsor Street Capital L.P. (formerly known as Meyers Associates L.P.) has been censured and fined $500,000.00 by Financial Industry Regulatory Authority (FINRA) according to a Hearing Panel Decision containing findings that (1) the firm neglected to construct and implement adequate supervisory systems and (2) failed to supervise two of the firm’s brokers who effected unsuitable […]

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Regulator Bars Meyers Broker In Investigation

August 17, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Leor Yohanan, 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 he did not provide FINRA with a response to an informational request concerning Yohanan’s business activities. Letter No. 2014040349301 (Sept. […]

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Meyers Associates Stockbroker Investigated For Fraud

July 29, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

John F. Riccardi Jr., of New York, NY, a stockbroker formerly registered with Meyers Associates LP, is the subject of a Financial Industry Regulatory Authority (FINRA) Wells Notice stating that regulatory action was recommended against him by FINRA based upon allegations that he violated FINRA Rules 2020 and 2010, as well as Securities and Exchange […]

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Meyers Associates President Named In Customer Arbitration

Bruce Meyers, of New York, New York, a stockbroker and former president of Meyers Associates, L.P., was named in a customer initiated investment related arbitration claim on April 7, 2016, in which the customer requested $545,000.00 in damages based upon allegations that Meyers effected unsuitable trades in the customer’s account. FINRA Public Disclosure reveals that […]

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Meyers Associates Stockbroker Charged with Failure to Disclose Judgments

Craig G. Langweiler of Philadelphia, Philadelphia, a registered representative with Meyers Associates, L.P., was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Langweiler had willfully failed to update his Uniform Application for Securities Industry Regulation or Transfer (Form U4) to timely disclose tax liens and civil judgments. Department […]

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