Imtiaz Khan

01/28/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant, v. Imtiaz (Raana) Khan CRD No. 4084250 Respondent Disciplinary Proceeding No. 2016048912703 Hearing Officer DW ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 28, 2019 INTRODUCTION Disciplinary Proceeding No. 2016048912703 was filed on May 7, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

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.orgdata-portal.finra.org

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.org