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…
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 (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…