FINRA Disciplinary Actions Online

Displaying 1 - 4 of 4
Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2012032731802 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILSON-DAVIS & CO., INC. (CRD No. 3777), JAMES C. SNOW (CRD No. 2761102), and BYRON B. BARKLEY (CRD No. 12469), Respondents. Disciplinary Proceeding No. 2012032731802 Hearing Officer–DW EXTENDED HEARING PANEL DECISION February 27, 2018 Respondent Wilson-Davis & Co. is fined $1,170,000 and ordered to disgorge $51,624 for improper short sales. For its failure to supervise Document Type OHO Decisions Firms/ Individuals
WILSON-DAVIS & CO., INC.
BYRON B. BARKLEY, JAMES C. SNOW
Action Date 02/27/2018
Case ID 2012032731802 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Wilson-Davis & Co., Inc. (CRD No. 3777), James C. Snow (CRD No. 2761102), and Byron B. Barkley (CRD No. 12469), Respondents. DISCIPLINARY PROCEED1NG No. 2012032731802 HEARING OFFICER: COMPLAINT The Department of Enforcement (Department) alleges: SUMMARY 1. From January 1, 2011 through April 30, 2014 ("the Relevant Period"), Wilson-Davis & Co., Inc. ("Wilson-Davis" or the "Firm"), James Snow, the Document Type Complaints Firms/ Individuals
WILSON-DAVIS & CO., INC.
JAMES C. SNOW, BYRON B. BARKLEY
Action Date 12/16/2016
Case ID 2015046971701 Case Summary 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.) (BD No. 34171), Respondent. Disciplinary Proceeding No. 2015046971701 Hearing Officer-LOM HEARING PANEL DECISION October 30, 2018 Respondent firm failed to establish and maintain a reasonable supervisory system and failed to reasonably supervise two Document Type OHO Decisions Firms/ Individuals
Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.)
Action Date 10/30/2018
Case ID 2016048912703 Case Summary 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 Document Type OHO Decisions Firms/ Individuals
Windsor Street Capital, L.P., f/k/a Meyers Associates, L.P.
Edwin Rodriguez, Arthur Tacopino
Action Date 05/28/2019