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Alexander Capital

Michael Androulakis – Alexander Capital Broker- Discloses 2 Regulatory Events and 4 Customer Disputes- NYC

Michael Androulakis – Alexander Capital Broker- Discloses 2 Regulatory Events and 4 Customer Disputes- NYC 150 150 Rex Securities Law

July 2021- NYC According to his FINRA record  Michael Androulakis, a financial advisor employed by Alexander Capital  discloses 2 regulatory events and 4 customer disputes. The Financial Industry Regulatory Authority…

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Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts

Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts 150 150 Rex Securities Law

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity.  JULY 2018 The Securities and Exchange Commission (SEC) charged Alexander Capital and two of its managers for failing to supervise three…

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Rocco Guidicipietro-Alexander Capital Broker-Discloses Pending Regulatory Matter and Settlement of Customer Disputes-New York

Rocco Guidicipietro-Alexander Capital Broker-Discloses Pending Regulatory Matter and Settlement of Customer Disputes-New York 150 150 Rex Securities Law

April 2018- New York According to FINRA records,  Rocco G. Guidicipietro (aka Rocco Peters)  discloses a pending regulatory matter, a prior regulatory matter and  three settled customer disputes. The Financial Industry Regulatory Authority…

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Florence Simeon-Former Alexander Capital Stockbroker-Discloses Termination from Employment for Document Alteration-New York

Florence Simeon-Former Alexander Capital Stockbroker-Discloses Termination from Employment for Document Alteration-New York 150 150 Rex Securities Law

April 2018- New York According to FINRA records,  Florence M. Simeon , who is currently employed by Sunstreet Securities, discloses that on April 27, 2016, she was ‘permitted to resign’ from Alexander Capital.…

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Former Alexander Capital Brokers-Billy Gennity and Rocco Roveccio-Named in SEC Fraud Suit-NYC

Former Alexander Capital Brokers-Billy Gennity and Rocco Roveccio-Named in SEC Fraud Suit-NYC 150 150 Rex Securities Law

MARCH 2019 UPDATE-The SEC entered a consent judgment against WIlliam Gennity who was charged with defrauding customers by making unsuitable and unauthorized trades and churning customers’ accounts to generate commissions.…

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Baris Dincer-Former J.H. Darbie Broker-Discloses Terminations-New York

Baris Dincer-Former J.H. Darbie Broker-Discloses Terminations-New York 150 150 Rex Securities Law

June 2020- New York According to publicly available records Baris Dincer  (CRD#5637472) ,  a  stockbroker who currently is not currently registered and who was previously employed by Planner Securities, J.H. Darbie &…

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