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Vincent Pereira- Private Placement Customer Complaints Settled

Vincent Pereira- Private Placement Customer Complaints Settled 150 150 Rex Securities Law

According to FINRA records, stockbroker Vincent Louis Pereira currently is employed by Alexander Capital, where he has been registered since 2/2015. His previous registrations include:

  • Blackbook Capital                       11/2014-2/2015
  • Source Capital Group                 6/2014-11/2014
  • John Carris Investments           2/2014-6/2014
  • Rockwell Global Capital            10/2011-2/2014
  • Rockwell Global Capital            12/2008-3/2011

In 3/2014, Pereira pled guilty to  misdemeanor petit larceny from a store in the criminal court of the City of New York and was sentenced to 1 day of community service.

Pereira has settled five customer disputes, including:

FINRA Case 11-3539– customer alleged that while Pereira was employed by Rockwell Global Capital, Pereira failed to perform due diligence and breached his fiduciary duty in connection with a $100,000 private placement investment. The case was settled for $35,000.

FINRA Case 11-3373-customer alleged that while he was employed by Rockwell Global Capital, Pereira failed to perform due diligence and breached his fiduciary duty in connection with a $150,000 private placement investment. The case was settled for $40,000.

FINRA Case 11-3003-customer alleged that while he was employed by Rockwell Global Capital, Pereira made false statements, was negligent and breached his contract duty in connection with a $300,000 private placement investment. The case was settled for $150,000.

FINRA Case 11-3586-customer alleged that while he was employed by Rockwell Global Capital, Pereira failed to perform due diligence and breached his fiduciary duty in connection with a $50,000 private placement investment. The case was settled for $20,000.

FINRA records report seven outstanding judgments and liens, including an Internal Revenue Service lien of $25,817. See FINRA report for full details.

If you have questions about an account handled by Vincent Pereira, call to speak with an experienced securities attorney.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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