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…
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 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 moreJune 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 &…
read moreMarch 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…
read moreJanuary 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…
read moreApril 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…
read moreJanuary 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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