Meyers Associates L.P.

04/25/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MEYERS ASSOCIATES, LP (CRD No. 34171), Respondent. Disciplinary Proceeding No. 2009017775601 Hearing Panel Decision Hearing Officer - SNB April 25, 2011 For failing to respond to FINRA requests for information, in violation of Rules 8210 and 2010, Respondent is fined $50,000. Appearances Julie K. Glynn, New York, NY, and Jeffrey Pariser, Washington, DC, for the Department of Enforcement.

Reference 2009017775601finra.orgdata-portal.finra.org

08/15/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Nas Adel Allan (CRD No. 4562149), Gregory J. Anastos (CRD No. 5800831), and Windsor Street Capital, LP, f/k/a Meyers Associates, L.P, (BD No. 34171), Respondents. DISCIPLINARY PROCEEDING No. 2015046971701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondents Nas Adel Allan (CRD No. 4562149) and Gregory J. Anastos (CRD No. 5800831) enriched themselves at the expense of elderly

Reference 2015046971701data-portal.finra.orgfinra.org

06/24/2019: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 86193 / June 24, 2019 Admin. Proc. File No. 3-18350 In the Matter of the Application of MEYERS ASSOCIATES, L.P. For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION--REVIEW OF DISCIPLINARY PROCEEDING Former FINRA member firm appeals from FINRA disciplinary proceeding finding that the firm failed to adequately supervise its Chicago office and failed

04/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. George Johnson (CRD No. 2245802), Christopher Wynne (CRD No. 4055280), Joseph Mahalick (CRD No.5563167), and Meyers Associates, L.P. (BD No. 34171), Respondents. Disciplinary Proceeding No. 2013035533701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This case involves myriad violations of the federal securities laws and FINRA's Rules based upon (i) market manipulation;

12/22/2017: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Meyers Associates, L.P. New York, NY, Respondent. DECISION Complaint No. 2013035533701 Dated: December 22, 2017 Respondent firm failed to adequately supervise its Chicago office and failed to establish and implement adequate AML policies and procedures. Held, findings affirmed and sanctions modified. For the Complainant: Leo Orenstein, Esq.,

11/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MEYERS ASSOCIATES, L.P. (CRD No. 34171), Respondent. Disciplinary Proceeding No. 2013035533701 Hearing Officer-KBW EXTENDED HEARING PANEL DECISION November 11, 2016 Respondent violated NASD Rule 3010(a) and FINRA Rule 2010 by failing to adequately supervise its Chicago office and FINRA Rules 3310(a) and 2010 by failing to establish and implement adequate AML policies and

Reference 2013035533701data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

05/28/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Windsor Street Capital, L.P., f/k/a Meyers Associates, L.P. (CRD No. 34171), Arthur Tacopino (CRD No. 2455892), Edwin Rodriguez (CRD No. 4710962), Respondents. DISCIPLINARY PROCEEDING No. 2016048912703 Hearing Officer-CC DEFAULT DECISION May 28, 2019 Respondent Arthur Tacopino willfully misused his firm's proprietary accounts to fraudulently allocate

Reference 2016048912703data-portal.finra.orgfinra.org

11/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. MEYERS ASSOCIATES, LP (BD No. 34171), BRUCE MEYERS (CRD No. 1045447), AND VICTOR PUZIO, (CRD No. 369095) RESPONDENTS. INTRODUCTION Disciplinary Proceeding No. 20090163324-01 was filed on October 20, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondents Meyers Associates, L.P. ("Meyers") and Bruce Meyers ("BM") submitted an Offer of

Reference 2009016332401finra.orgdata-portal.finra.org

06/30/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140438591-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Meyers Associates, L.P., Respondent CRD No. 34171 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Meyers Associates, L.P.. Respondent (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014043859101data-portal.finra.orgfinra.org

05/07/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Windsor Street Capital, LP, f/k/a Meyers Associates, L.P. (CRD No. 34171), Bruce Meyers (CRD No. 1045447), Imtiaz (Raana) Khan (CRD No. 4084250), Arthur Tacopino (CRD No. 2455892), and Edwin Rodriguez (CRD No. 4710962), Respondents. DISCIPLINARY PROCEEDING NO. 2016048912703 COMPLAINT The Department of Enforcement

05/28/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Windsor Street Capital, L.P., f/k/a Meyers Associates, L.P. (CRD No. 34171), Arthur Tacopino (CRD No. 2455892), Edwin Rodriguez (CRD No. 4710962), Respondents. DISCIPLINARY PROCEEDING No. 2016048912703 Hearing Officer-CC DEFAULT DECISION May 28, 2019 Respondent Arthur Tacopino willfully misused his firm's proprietary accounts to fraudulently allocate

Reference 2016048912703data-portal.finra.orgdata-portal.finra.orgfinra.org

03/09/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102003044103 TO: Department of Enforcement NASD RE: Meyers Associates. L.P., Respondent Broker-Dealer (BD No. 34171) Pursuant to Rule 9216 of NASD Code of Procedure, Meyers Associates, L.P. ("Meyers Associates" or Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will

Reference E102003044103data-portal.finra.orgfinra.org

08/15/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Nas Adel Allan (CRD No. 4562149), Gregory J. Anastos (CRD No. 5800831), and Windsor Street Capital, LP, f/k/a Meyers Associates, L.P, (BD No. 34171), Respondents. DISCIPLINARY PROCEEDING No. 2015046971701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondents Nas Adel Allan (CRD No. 4562149) and Gregory J. Anastos (CRD No. 5800831) enriched themselves at the expense of elderly

Reference 2015046971701finra.orgdata-portal.finra.org

05/07/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Windsor Street Capital, LP, f/k/a Meyers Associates, L.P. (CRD No. 34171), Bruce Meyers (CRD No. 1045447), Imtiaz (Raana) Khan (CRD No. 4084250), Arthur Tacopino (CRD No. 2455892), and Edwin Rodriguez (CRD No. 4710962), Respondents. DISCIPLINARY PROCEEDING NO. 2016048912703 COMPLAINT The Department of Enforcement

Reference 2016048912703data-portal.finra.orgfinra.org

12/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070072540-02 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Meyers Associates, L.P., Respondent Member Firm BD No. 34171 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Meyers Associates, L.P. ("Meyers" or "the firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2007007254002data-portal.finra.orgfinra.org

01/04/2018: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Meyers Associates, L.P. (n/k/a Windsor Street Capital, L.P.) New York, NY and Bruce Meyers New York, NY, Respondents DECISION Complaint No. 2010020954501 Dated January 4, 2018 Member used misleading communications with the public, maintained inaccurate books and records, failed to supervise preparation of books and records, failed to supervise electronic

Reference 2010020954501data-portal.finra.orgfinra.org

03/06/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100249734-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Meyers Associates, L.P., Respondent Broker-Dealer CRD No. 34171 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Meyers Associates, L.P. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2010024973401data-portal.finra.orgfinra.org

09/07/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MEYERS ASSOCIATES, L.P., formerly known as ROAN-MEYERS & ASSOCIATES, L.P. B/D No. 34171 Respondent. Disciplinary Proceeding NO. EAF0400360003 Hearing Officer – AWH ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. CE2050003 was filed on March 1, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Meyers Associates

Reference EAF0400360003finra.orgdata-portal.finra.org

07/26/2019: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No 86497/July 26, 2019 Admin. Proc. File No. 3-18359 In the Matter of the Application of MEYERS ASSOCIATES, L.P. (n/k/a WINDSOR STREET CAPITAL, L.P.) and BRUCE MEYERS For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDING Former member firm and its former principal appeal from FINRA disciplinary action

Reference 2016048912703data-portal.finra.orgfinra.org

12/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Meyers Associates, L.P. (CRD No. 34171), Respondent. Disciplinary Proceeding No. 20070099307 Hearing Officer: MAD ORDER ACCEPTING OFFER OF SETTLEMENT December 21, 2011 INTRODUCTION Disciplinary Proceeding No. 20070099307 was filed on June 17, 2011, by the Department of Market Regulation of the Financial Industry Regulatory Authority ("FINRA" or "Complainant"). Respondent Meyers Associates,

Reference 2007009930701data-portal.finra.orgfinra.org

04/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MEYERS ASSOCIATES, L.P. (CRD No. 34171), BRUCE MEYERS (CRD No. 1045447), and IMTIAZ A. KHAN (CRD No. 4084250), Respondents. Disciplinary Proceeding No. 2010020954501 Hearing Officer-RSH EXTENDED HEARING PANEL DECISION April 27, 2016 Meyers Associates, L.P. and its principal, Bruce Meyers, sent, or caused to be sent, misleading and unbalanced advertising materials via email

10/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Meyers Associates, L.P. (BD No. 34171), Bruce Meyers (CRD No. 1045447), and Imtiaz A. Khan (CRD No. 4084250), Respondents. DISCIPLINARY PROCEEDING No. 2010020954501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2011 through June 2011 (the "General Solicitation Period"), Meyers Associates, L.P. (BD No. 34171) ("Meyers" or the "Firm") and its President, founder

Reference 2010020954501data-portal.finra.orgfinra.orgdata-portal.finra.org