JOHN M MEYERS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/05/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. JOHN M. MEYERS (CRD No. 2580153), BRIAN C. KLEIN (CRD No. 2723977), ISRAEL E. LOZADA CRD No. 2984203), Respondents. Summary Respondents failed to disclose to customers that they would be receiving additional compensation for selling the particular stock they recommended and they made unreasonable price predictions for the stock, all in violation of Section
01/23/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. John M. Meyers Coram, NY and Brian C. Klein Farmingdale, NY, Respondent. Respondents engaged in fraud by recklessly failing to disclose sales incentives to customers and by recklessly making baseless price predictions to customers. Held. Hearing Panel's findings affirmed and sanctions modified. Appearances
Reference C3A040023data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2580153 |
Other names1
Also known as1
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