Fined: Windsor Street Capital, LP fka Meyers Associates, L.P. Fined by FINRA

Fined

Windsor Street Capital, LP fka Meyers Associates, L.P. Fined by FINRA

23 August 2019

A Securities and Exchange Commission (SEC) decision became final in which the firm was fined $500,000. The SEC affirmed the findings and modified the sanctions following an appeal of a National Adjudicatory Council (NAC) decision. The SEC set aside the requirement ordered by the NAC that the firm hire an independent consultant because it has ceased its broker-dealer business.

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Fined: Windsor Street Capital, LP fka Meyers Associates, L.P Fined by FINRA

Fined

Windsor Street Capital, LP fka Meyers Associates, L.P Fined by FINRA

25 June 2019

An Office of Hearing Officers (OHO) decision became final in which the firm was expelled from FINRA® membership, fined $1,000,000, ordered to pay $61,559.02, plus interest, in restitution to customers and ordered to pay disgorgement in the amount of $256,550. Rodriguez was barred from association with any FINRA member in all capacities.

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Fined: Windsor Street Capital, LP fka Meyers Associates, L.P. Fined by FINRA (December 2018)

Fined

Windsor Street Capital, LP fka Meyers Associates, L.P. Fined by FINRA

17 December 2018

An Office of Hearing Officers (OHO) decision became final in which the firm was censured and fined $500,000. The sanctions were based on findings that the firm failed to establish and maintain a reasonable supervisory system and failed to reasonably supervise two registered representatives and their unsuitable trading in connection with trading in an account owned, through a trust, by an elderly couple.

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