Alexander Capital Archives

Robert Rex, Esq.
July 19, 2018

Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts

Alexander Capital Sanctioned For Allowing Brokers to Churn Brokerage Accounts https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 19, 2018 July 19, 2018

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…

Robert Rex, Esq.
June 9, 2018

Laurence M. Torres-Former Alexander Capital Broker-Accused of High Pressure Sales Techniques-Staten Island, NY

Laurence M. Torres-Former Alexander Capital Broker-Accused of High Pressure Sales Techniques-Staten Island, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 9, 2018 June 9, 2018

May 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,…

Robert Rex, Esq.
April 3, 2018

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 3, 2018 April 3, 2018

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.…

Robert Rex, Esq.
November 13, 2017

Hank Werner-Former Liberty Partners Broker-Barred For Abusing Account of Elderly/Blind Widow

Hank Werner-Former Liberty Partners Broker-Barred For Abusing Account of Elderly/Blind Widow https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 13, 2017 November 13, 2017

November 2017 FINRA (The Financial Industry Regulatory Authority) barred stock broker Hank Mark Werner of Northport, New York, for fraudulently churning and excessive trading in the account of a blind,…

Robert Rex, Esq.
September 29, 2017

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 29, 2017 September 29, 2017

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.…

Robert Rex, Esq.
June 13, 2017

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

Baris Dincer-Former J.H. Darbie Broker-Discloses Terminations-New York https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 13, 2017 June 13, 2017

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 &…

Robert Rex, Esq.
March 27, 2017

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 27, 2017 March 27, 2017

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…

Robert Rex, Esq.
January 18, 2017

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 18, 2017 January 18, 2017

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…

Robert Rex, Esq.
January 18, 2017

Jason H. Klabal-Former Legend Securities Broker-Discloses Customer Disputes

Jason H. Klabal-Former Legend Securities Broker-Discloses Customer Disputes https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 18, 2017 January 18, 2017

January 2017- New York According to publicly available records Jason H. Klabal , (CRD# 2910714) , a stockbroker who is currently employed by Alexander Capital, disclose 2 currently pending customer disputes. The Financial Industry…

Robert Rex, Esq.
January 18, 2017

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

Andrew P. Murino-Alexander Capital Broker-Discloses Outstanding Tax Liens https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 18, 2017 January 18, 2017

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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