Bruce Meyers

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

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.orgdata-portal.finra.orgfinra.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

01/31/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Bruce Meyers CRD No. 1045447, Respondent. Disciplinary Proceeding No. 2016048912703 Hearing Officer DW ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 31, 2019 INTRODUCTION Disciplinary Proceeding No. 2016048912703 was filed on May 7, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

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.orgdata-portal.finra.orgdata-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 2009016332401data-portal.finra.orgfinra.org