Rex Securities Law Investment Fraud Attorney Investigates Alexander Capital L.P. Broker Rocco Guidicipietro (Peters)

Last Updated: September 2025 – Red Bank, NJ

Here’s what you need to know about Red Bank, NJ stockbroker Rocco G. Guidicipietro:

• Name: Rocco Gerard Guidicipietro
• Alias: Rocco Peters
• Current Employer: Alexander Capital, L.P. (registered since 02/17/2012); Branch: 10 Drs James Parker Blvd., Suite 202, Red Bank, NJ 07701
• Prior Firms: Legend Securities, Inc. (09/2010–02/2012); J.P. Turner & Company, L.L.C. (09/1998–09/2010); Paulson Investment Company, Inc. (04/1998–08/1998); Paragon Capital Corporation (09/1997–03/1998); LT Lawrence & Co., Inc. (05/1997–10/1997); Continental Broker-Dealer Corp. (10/1996–05/1997); State Capital Markets Corporation (05/1995–09/1996); Hanover, Sterling & Company Ltd. (06/1994–07/1994; 10/1994–07/1995)
• Other Business Affiliations: NESA Management LLC; Alexander Capital Wealth Management LLC (owner/partner); Alexander Capital Insurance Agency LLC (owner/partner); Alexander Capital Ventures Mgt Co.; Alexander Capital Ventures; Sane Management LLC; Mountain View Holding LLC; Sena Management LLC
• CRD number: 2489732
• Stockbroker / Financial Advisor. (FINRA registrations active with one SRO; licensed in multiple U.S. states/territories.)
• Can Broker be Sued in FINRA: Yes (multiple pending FINRA arbitrations as of 2024–2025).
• Sanctioned by Securities Regulators: Yes.
• Highest Award of Settlement: $13,000 (customer dispute settled 11/02/2020; FINRA Case No. 18-03984).
• Current Customer Disputes Seek Total Damages of: more than $2.2 Million

If you’ve sustained damages from Mr. Guidicipietro, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.

Did You Lose Money With Rocco G. Guidicipietro As Your Stockbroker?

Prior Regulatory Sanction

• NASD AWC (12/2006; Dkt. E072003011203): $113,035 disgorgement/fine; one-month suspension (01/16/2007–02/15/2007) relating to a misleading private placement memorandum.

Customer Disputes

• FINRA Case No. 24-02230 (fOctober 2024): Claimant alleges breach of fiduciary duty, fraud, negligence, breach of contract, and violation of FINRA Rule 2010 tied to private equity while Mr. Guidicipietro was associated with Alexander Capital, L.P. Damages sought: $1,694,000.
• FINRA Case No. 24-02233 (June 2025): Allegations include breach of fiduciary duties, failure to supervise, negligence/gross negligence, violations of FINRA Rules, federal securities laws, and Regulation Best Interest (Reg BI) involving REITs and alternative investments while Mr. Guidicipietro was associated with Alexander Capital. Damages sought: $499,000.99.
• FINRA Case No. 25-01247 (July 2025): Breach of fiduciary duty; aiding and abetting; negligence (failure to supervise) and alleged Georgia state-law violations involving real estate securities/private offerings while Mr. Guidicipietro was associated with Alexander Capital. Damages to be determined at hearing.
• Civil suit (S.D.N.Y. Case No. 1:22-cv-3318; filed April 2022): Allegations arising from promissory notes; Damage amount not yet specified.

An earlier matter included a settled customer dispute for $13,000 (FINRA Case No. 18-03984)

Allegations of Broker Misconduct Against Rocco G. Guidicipietro

• Unsuitability. (When alleged, FINRA Rule 2111 – Suitability requires a reasonable basis for recommendations aligned with a customer’s risk profile and objectives.)
• Breach of Fiduciary Duty
• Fraud / Misrepresentation
• Unauthorized Trading (including on margin). (unauthorized trading can violate FINRA Rule 3260 – Discretionary Accounts.)

What is Unauthorized Trading?

Other Cases Involving Unauthorized Trading

Discretionary vs. Non-Discretionary Accounts

Recover Your Investment Losses Now With Rex Securities Law

Investigations of other Alexander Capital brokers

If you have suffered investment losses in an account handled by Rocco G. Guidicipietro, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.

What is FINRA Arbitration?

Firms We Have Pursued

With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.

If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.

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