Tag Archives: Alexander Capital L.P.

Alexander Capital Broker Barred In Boilerroom Investigation

Michael Alejandro Castillero of New York New York a stockbroker formerly employed by Alexander Capital has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Castillero failed to testify in a FINRA investigation into accusations of (1) Castillero making unauthorized trades in a […]

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Alexander Capital Officer Charged With Failure To Supervise

July 16, 2018  |   Posted by :   |   Boilerroom, Failure To Supervise, Stockbroker Fraud News   |   0 Comments

Timothy John Stack of New York New York a former chief compliance officer registered with Alexander Capital LP is the subject of a Second Amended Notice of Proposed Agency Action and Opportunity for Hearing issued by the Office of the Montana State Auditor Commissioner of Securities and Insurance in which sanctions have been sought against […]

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Alexander Capital Fires Broker For Falsifying Documents

April 27, 2018  |   Posted by :   |   Forgery, Stockbroker Fraud News   |   0 Comments

Florence Marie Simeon of New York New York a stockbroker formerly registered with Alexander Capital L.P. has been terminated on April 27, 2016 based upon allegations that Simeon falsified documents while associated with the firm. Financial Industry Regulatory Authority (FINRA) Public Disclosure also reveals that a customer initiated investment related arbitration claim regarding Simeon’s conduct […]

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Alexander Capital Stockbroker Barred By SEC For Fraud

November 21, 2017  |   Posted by :   |   Boilerroom   |   0 Comments

Laurence M. Torres of West Mifflin, Pennsylvania, a stockbroker formerly registered with Alexander Capital, L.P., has been barred from working as a broker or investment advisor or affiliating with brokerage firms or investment advisories based on a Securities and Exchange Commission Order containing findings that Torres committed securities fraud by effecting unsuitable and misrepresented transactions, […]

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Alexander Capital Fined For Failure To Supervise

October 16, 2017  |   Posted by :   |   Failure To Supervise   |   0 Comments

Alexander Capital, L.P., a FINRA member brokerage firm headquartered in New York, New York, has been censured and fined $80,000.00 by Financial Industry Regulatory Authority (FINRA) based upon the firm’s consent to findings that it failed to supervise securities transactions to ensure that they were registered or otherwise exempt from registration. Letter of Acceptance, Waiver […]

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Alexander Capital Stockbroker Barred For Fraud

September 15, 2017  |   Posted by :   |   Boilerroom, Stockbroker Fraud News   |   0 Comments

Peyton Nelson Jackson, of New York, New York, a stockbroker formerly registered with Alexander Capital, L.P., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Hearing Officer’s Default Decision containing findings that Jackson made unsuitable investment recommendations and defrauded customers. Department of Enforcement v. Peyton […]

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Alexander Capital Stockbroker Charged With Securities Fraud

June 08, 2017  |   Posted by :   |   Boilerroom, Stockbroker Fraud, Stockbroker Fraud News   |   0 Comments

William Christian Gennity, of New York, New York, a stockbroker formerly registered with Alexander Capital, L.P., has been identified in a Securities and Exchange Commission (SEC) Complaint on February 2, 2017, in which the SEC has pursued sanctions against Gennity based upon allegations that he committed fraudulent stock transactions; conduct violative of Securities Act of […]

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Revere Securities Sued By Customer For Unauthorized Trading

May 18, 2017  |   Posted by :   |   Bond Fraud, Stockbroker Fraud News, Unauthorized Trading   |   0 Comments

Baris Dincer, of New York, New York, a stockbroker formerly registered with Revere Securities LLC, has been named in a customer initiated investment related written complaint on June 1, 2016, in which the customer requested $45,000.00 in damages based upon allegations that Dincer effected unauthorized corporate debt transactions in the customer’s account. Financial Industry Regulatory […]

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Alexander Capital Stockbroker Charged With Obstructing

May 05, 2017  |   Posted by :   |   Boilerroom, Stockbroker Fraud News   |   0 Comments

Peyton Nelson Jackson, of New York, New York, a stockbroker formerly registered with Alexander Capital, L.P., and Legend Securities, Inc., has been charged by Financial Industry Regulatory Authority in a Complaint which alleges that Jackson failed to cooperate in a FINRA investigation into allegations that he effected fraudulent transactions in customer accounts. Department of Enforcement […]

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Woodstock Financial Group Stockbroker Under Investigation

March 08, 2017  |   Posted by :   |   Boilerroom, Stockbroker Fraud News   |   0 Comments

Ryan Michael Murnane, of Staten Island, New York, a stockbroker formerly registered with Woodstock Financial Group, Inc., was named in an investigation by the State of Montana Securities Department on February 1, 2017, in which Muranne’s conduct is under review for allegedly contacting a customer numerous times to solicit investment related business despite Murnane not […]

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JP Turner & Company Sued by Customer For Churning

February 13, 2017  |   Posted by :   |   Bond Fraud, Churning, Stockbroker Fraud News   |   0 Comments

Ty Kevin Bauer, a stockbroker formerly registered with J.P. Turner & Company, L.L.C., has been named in a customer initiated investment related arbitration claim on March 3, 2016, in which a customer requested $500,000.00 in damages based upon allegations that from 2011 to 2016, Bauer effected unsuitable corporate debt and direct investment transactions, and churned […]

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Alexander Capital Stockbroker Sued for Unauthorized Trading

Andrew Patrick Murino, a stockbroker currently registered with Alexander Capital, L.P., has been named in a customer initiated investment related arbitration claim on December 1, 2016, in which the customer requested $38,084.00 in damages based upon allegations that Murino effected unauthorized and unsuitable over-the-counter equity trades in the customer’s account, and breached his fiduciary duty […]

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Alexander Capital LP Sued by Customers for Sale of Unsuitable Investments

John Owen Slipek, of Staten Island, New York, a stockbroker currently registered with Alexander Capital, L.P., has been named in a customer initiated investment related arbitration claim on December 1, 2016, in which the customer requested $38,084.00 in damages based upon allegations that Slipek effected over-the-counter equity transactions in the customer’s account which were neither […]

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Legend Securities Stockbroker Sued for Excessive Trading

February 13, 2017  |   Posted by :   |   Churning   |   0 Comments

Robert Francis Stefanelli, a stockbroker formerly registered with Legend Securities, Inc., has been named in a customer initiated investment related arbitration claim on December 12, 2016, in which the customer requested $50,000.00 in damages based upon allegations that Stefanelli utilized high pressure sales tactics, and effected equity and options margin trades in the customer’s account […]

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Alexander Capital Stockbroker Barred In FINRA Investigation

December 17, 2016  |   Posted by :   |   Boilerroom   |   0 Comments

Anthony Mastroianni, Jr., of New York, New York, a stockbroker formerly associated with Alexander Capital, L.P., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member after consenting to findings that he failed to cooperate in a FINRA investigation into allegations that Mastroianni churned or excessively traded a customer’s account. Letter […]

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Alexander Capital Named In Customer Unsuitability Claim

November 18, 2016  |   Posted by :   |   Churning, FINRA Securities Arbitration, Stockbroker Fraud News   |   0 Comments

Joseph R. Connolly, of Staten Island, New York, a stockbroker formerly registered with Alexander Capital, L.P., has been subject to a customer initiated investment related arbitration claim on February 8, 2016, in which the customer requested $660,000.00 in damages based upon allegations that Connolly effected excessive and unsuitable trades in the customer’s account, and generated […]

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JP Turner Named In Customer Arbitration Fraud Claim

November 18, 2016  |   Posted by :   |   FINRA Securities Arbitration, Stockbroker Fraud News   |   0 Comments

Rocco G. Guidicipietro, of New York, New York, a stockbroker formerly registered with J.P. Turner & Company, L.L.C., has been subject to three customer initiated arbitration claims involving his misconduct. Particularly, on October 21, 2014, a customer initiated investment related arbitration claim involving Guidicipietro’s conduct was resolved for $60,000.00 in damages based upon allegations that […]

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Alexander Capital Stockbroker Charged With Churning

Barry T. Eisenberg, of New York, New York, a stockbroker registered with Alexander Capital, L.P., has been named in a Complaint initiated by The Office of Montana State Auditor, Commissioner of Securities and Insurance, which alleged that Eisenberg failed to supervise the sales practices of two registered registered representatives, Joseph Connolly and William Gennity, who […]

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Customer Claims Mount Against Alexander Capital Stockbroker Castillero

September 27, 2016  |   Posted by :   |   Stockbroker Fraud, Stockbroker Fraud News   |   0 Comments

Michael A. Castillero, of New York, New York, a stockbroker with Alexander Capital, L.P., is subject to a pending customer dispute from July 19, 2016, in which the customer has requested $190,000.00 in damages after alleging that Castillero made negligent misrepresentations, effected unauthorized trades in the customer’s account, and engaged in unsuitable investment recommendations. On […]

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Meyers Associates Stockbroker Lanaia Named In Regulatory Action

September 16, 2016  |   Posted by :   |   Failure To Supervise, Stockbroker Fraud, Stockbroker Fraud News   |   0 Comments

Francine A. Lanaia, of Hauppauge, New York, a stockbroker with Meyers Associates, L.P., and formerly Alexander Capital, L.P., was named in regulatory action by The State of Montana’s Securities Division on August 2, 2016, in which Lanaia was alleged to have failed to supervise two registered representatives, Joseph Connelly and William Gennity. The two individuals, […]

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First Standard Financial Company Stockbroker Gennity Named In Fraud Arbitration

September 16, 2016  |   Posted by :   |   Stockbroker Fraud, Stockbroker Fraud News   |   0 Comments

William C. Gennity, from Staten Island, New York, a stockbroker with First Standard Financial Company LLC, and previously registered with Alexander Capital, L.P., was named in regulatory action from Montana’s Securities Division, in which Gennity was alleged to have engaged in unauthorized and excessive trading, unsuitable investment recommendations, charging of excess fees, unauthorized use of […]

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Alexander Capital Stockbroker Suspended For Outside Business Activities

Peyton Nelson Jackson, of New York, New York, was fined $20,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member firm after consenting to findings that he engaged in unauthorized outside business activities. Letter of Acceptance, Waiver and Consent, No. 2012032095801 (Apr. 28, 2016). According to the AWC, FINRA launched […]

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