Tag Archives: Meyers Associates

FINRA Fines Meyers Associates For Misleading Content

January 26, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Meyers Associates, L.P. (now known as Windsor Street Capital, L.P.) has been censured and fined $700,000.00 and its president, Bruce Meyers, fined $100,000.00 and barred in a supervisory capacity by Financial Industry Regulatory Authority (FINRA) according to a National Adjudicatory Council Decision confirming that Meyers, inter alia, had disseminated misleading and unbalanced investment related communications […]

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FINRA Investigates Meyers Associates Broker For Fraud

November 20, 2017  |   Posted by :   |   Boilerroom Sales   |   0 Comments

Bruce Meyers, of New York, New York, a stockbroker formerly registered with Meyers Associates, L.P., is the subject of a Wells Notice issued by Financial Industry Regulatory Authority (FINRA), wherein enforcement action is pending against Meyers based upon allegations that he willfully violated NASD Rules 3010, 2440, IM-2440, 1031, IM-1000-3, 1021; FINRA Rules 4511, 4530, […]

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Summit Brokerage Services Stockbroker Under Investigation

Craig Gary Langweiler of Newton, Pennsylvania, a stockbroker formerly registered with Summit Brokerage Services, Inc., was named in a Financial Industry Regulatory Authority (FINRA) Wells Notice, which indicated that a disciplinary action against Langweiler had been recommended by FINRA. Wells Notice No. 20140403477 (May. 1, 2017). The Notice indicated that from December of 2011 to […]

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Newbridge Securities Stockbroker Subject To Customer Arbitration Alleging Unsuitability

William K. Bradley, of New York, New York, a stockbroker formerly with Newbridge Securities Corporation, now associated with Meyers Associates, has been named in a pending customer initiated investment arbitration claim, in which the customer has requested $30,236.00 in damages based upon allegations that Bradley effected unsuitable investments in the customer’s account. FINRA Public Disclosure […]

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Meyers Associates Charged With Securities Fraud

Meyers Associates, L.P., a FINRA member since 1994 headquartered in New York, NY, engages in general securities business via 70 registered reps operating out of 12 branch offices. The firm, along with George Johnson (investment banking representative), Christopher Wynne (general securities principal), and Mahalick (general securities and investment banking representative), were charged by FINRA’s Department […]

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