JEFFREY BRIAN MEYER

02/11/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY BRIAN MEYER (CRD No. 4111125), Respondent. Disciplinary Proceeding No. 2012032758601 Hearing Officer - CC DEFAULT DECISION February 11, 2015 Respondent engaged in 37 securities transactions outside the scope of his employment with a FINRA member firm, without providing prior written notice to the firm, in violation of NASD Rules 3040 and 2110 and FINRA Rule 2010. For this

08/21/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Jeffrey Brian Meyer DISCIPLINARY PROCEEDING (CRD No. 4111125), No. 2012032758601 Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Jeffrey Meyer (''Meyer"), while employed by Waddell & Reed, Inc. (''Waddell & Reed") and WRP Investments, Inc. ("WRP"), acted outside the scope ofhis employment with those firms by participating in 37 private securities transactions

Reference 2012032758601data-portal.finra.orgfinra.orgdata-portal.finra.org