{"id":2573,"date":"2017-02-27T00:00:00","date_gmt":"2017-02-27T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/windsor-street-capital-pump-and-dump\/"},"modified":"2018-10-08T12:37:59","modified_gmt":"2018-10-08T16:37:59","slug":"windsor-street-capital-pump-and-dump","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/windsor-street-capital-pump-and-dump\/","title":{"rendered":"SEC Charges Windsor Street Capital\/Meyers Associates for Alleged Conduct in Pump-and-Dump Scheme"},"content":{"rendered":"

The SEC announced charges<\/a> against New York-based brokerage firm Windsor Street Capital (CRD# 34171)<\/a>, formerly Meyers Associates, L.P., for gatekeeper failures related to a pump-and-dump scheme.\u00a0 John D. Telfer (CRD# 1099745)<\/a> was also charged as chief compliance officer and anti-money laundering officer of Windsor Street Capital from November 2013 to his separation from the firm in September 2016.<\/p>\n

According to the SEC complaint, Windsor Street Capital (\u201cWindsor Street\u201d) violated Section 5 of the Securities Act after it facilitated the unregistered sale of hundreds of millions of penny stock shares without performing adequate due diligence regarding the Section 5 compliance of the shares.<\/p>\n

The penny stock companies were MedGen, Inc.; Alternaturals, Inc.; Manzo Pharmaceuticals, Inc.; and Solpower, Inc.\u00a0 According to the complaint, Windsor Street Capital failed to file suspicious activity reports for $24.8 million in suspicious transactions, including those occurring in accounts controlled by microcap stock financiers Raymond H. Barton and William G. Goode, who were separately charged.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The SEC announced charges against New York-based brokerage firm Windsor Street Capital (CRD# 34171), formerly Meyers Associates, L.P., for gatekeeper failures related to a pump-and-dump scheme.\u00a0 John D. Telfer (CRD# 1099745) was also charged as chief compliance officer and anti-money laundering officer of Windsor Street Capital from November 2013 to his separation from the firm […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[199,220,221,200],"class_list":["post-2573","post","type-post","status-publish","format-standard","hentry","category-all-releases","tag-meyers-associates","tag-penny-stocks","tag-pump-and-dump-scheme","tag-windsor-street-capital"],"yoast_head":"\nSEC Charges Windsor Street Capital for Alleged Conduct in Pump-and-Dump Scheme<\/title>\n<meta name=\"description\" content=\"If you've lost money investing with Windsor Street Capital or Meyers Associates, contact our firm to learn how you can try to recover your losses.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, 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