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Alexander Capital investigation

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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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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Ryan M. Murnane-Former Alexander Capital Broker-Discloses Discharge and Customer/Regulatory Complaints

Ryan M. Murnane-Former Alexander Capital Broker-Discloses Discharge and Customer/Regulatory Complaints 150 150 Rex Securities Law

March 2017-New York According to publicly available records Ryan M. Murnane  , (CRD# 4784140) ,  a   former stockbroker who last worked for Alexander Capital and Woodstock Financial Group,  discloses a pending customer dispute, 5…

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Robert F. Stefanelli-Alexander Capital Broker-Discloses Customer Dispute Alleging High Pressure Sales

Robert F. Stefanelli-Alexander Capital Broker-Discloses Customer Dispute Alleging High Pressure Sales 150 150 Rex Securities Law

January 2017- New York According to publicly available records Robert F. Stefanelli , (CRD# 2566917) ,  a  stockbroker who is currently employed by Alexander Capital,  disclose a currently pending customer dispute. The Financial Industry…

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Andrew P. Murino-Alexander Capital Broker-Discloses Outstanding Tax Liens

Andrew P. Murino-Alexander Capital Broker-Discloses Outstanding Tax Liens 150 150 Rex Securities Law

April 2019- New York According to publicly available records Andrew P. Murino , (CRD# 4162699) ,  a  stockbroker who is currently employed by Alexander Capital,  disclose currently outstanding liens. The Financial Industry Regulatory…

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Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS

Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS 150 150 Rex Securities Law

January 2017- Oxford, MS According to publicly available records Ty Kevin Bauer , (CRD# 2150885) ,  a  stockbroker who is currently employed by Alexander Capital,  disclose 2 prior customer disputes. The Financial Industry Regulatory…

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