Alexander Capital Archives - Page 3 of 4

Rex Securities Law
August 14, 2016
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Barry T. Eisenberg-Alexander Capital Broker-Sanctioned by Regulator

Barry T. Eisenberg-Alexander Capital Broker-Sanctioned by Regulator http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 14, 2016 September 8, 2019

September 2019- Allentown, PA The FINRA records of Barry T. Eisenberg, a stock broker employed by Alexander Capital, L.P. disclose a regulatory event, a prior customer dispute and a prior financial event.…

Rex Securities Law
August 14, 2016
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Francine A. Lanaia-Former Alexander Capital Broker-Named in Churning Complaint by Regulator

Francine A. Lanaia-Former Alexander Capital Broker-Named in Churning Complaint by Regulator http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 14, 2016 November 30, 2016

August 2016- Fort Salanga, New York The FINRA records of Francine A. Lanaia, a stock broker who is currently employed by Meyers Associates disclose a currently pending regulatory event, two prior regulatory events, a currently…

Rex Securities Law
August 14, 2016
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William Gennity-Former Alexander Capital Broker-Accused of Churning by Regulators & Customers

William Gennity-Former Alexander Capital Broker-Accused of Churning by Regulators & Customers http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 14, 2016 March 5, 2019

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity. UPDATE April 2017-The FINRA records of William Gennity report the filing of an action by the US Securities and Exchange Commission…

Rex Securities Law
July 25, 2016
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Nick E. Son-Aegis Capital Corp. Broker-Discloses Customer Dispute Alleging High Pressure Sales Tactics

Nick E. Son-Aegis Capital Corp. Broker-Discloses Customer Dispute Alleging High Pressure Sales Tactics http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 25, 2016 May 18, 2017

New York UPDATE MAY 2017-Nick E. Son discloses a recently filed customer arbitration. In 12/2016 a customer of Aegis Capital alleges damages in an unspecified amount relating to use of…

Rex Securities Law
July 5, 2016
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Michael A. Castillero-Former Alexander Capital Broker-Discloses Multiple Customer Disputes & Bar From Securities Industry

Michael A. Castillero-Former Alexander Capital Broker-Discloses Multiple Customer Disputes & Bar From Securities Industry http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 5, 2016 April 26, 2019

New York APRIL 2019 UPDATE- Michael A. Castillero left Alexander Capital in 6/2017 and worked for Windsor Street Capital from 6/2017-10/2017. In 2/2019 he was permanently barred from the securities…

Rex Securities Law
June 6, 2016
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Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY

Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 6, 2016 May 18, 2017

New York MAY 2017 UPDATE–Francesco Scarso was permanently barred from the securities industry in 2/2017 for failing to respond to a request for information in connection with an investigation. …

Rex Securities Law
May 14, 2016
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Florence Simeon Permitted to Resign from Alexander Capital-Suspected of Falsifying Customer Documents

Florence Simeon Permitted to Resign from Alexander Capital-Suspected of Falsifying Customer Documents http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 14, 2016 May 16, 2016

May 2016- New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

Rex Securities Law
May 14, 2016
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Rocco Guidicipietro-Alexander Capital Stockbroker-Discloses Customer Dispute for Unauthorized Trading

Rocco Guidicipietro-Alexander Capital Stockbroker-Discloses Customer Dispute for Unauthorized Trading http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 14, 2016 April 19, 2018

April 2018 Update–See this. May 2016- New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report…

Rex Securities Law
May 14, 2016
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Joseph Connolly-Former Alexander Capital Stockbroker-Named in Churning Complaint

Joseph Connolly-Former Alexander Capital Stockbroker-Named in Churning Complaint http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 14, 2016 August 14, 2016

UPDATE August 2016–Joseph Connolly Named in Churning Complaint by Montana Securities Regulator. Follow this link for details. May 2016- Staten Island The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…