August 2021-New York, NY According to publicly available records Jason Andrew Wilk , a former stockbroker who is not currently registered and who was last employed by Worden Capital Management ,…
read moreJuly 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…
read moreMARCH 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…
read moreMay 2018- Staten Island, NY According to FINRA records, former stockbroker Laurence M. Torres discloses 2 pending and 4 prior customer disputes. Torres, who worked for First Standard Financial Company and Alexander Capital,…
read moreApril 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…
read moreApril 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.…
read moreMARCH 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.…
read more