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Investment Misconduct Blog

Misrepresentations and Omissions

Laurence Torres Investors May Have Options to Recover Their Losses

Adam J. Marquardt May 2, 2018

On April 11, 2018, the Securities and Exchange Commission (SEC) stated in a press release that it had barred Laurence Torres from the securities industry and ordered him to pay more than $400,000 in penalties, disgorgement, and interest.  The SEC order barring Torres was dated September 28, 2017. Torres was one of three former Alexander

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William Gennity Investors May Have Options to Recover Their Losses

Adam J. Marquardt May 1, 2018

On April 11, 2018, the Securities and Exchange Commission (SEC) announced in a press release that William Gennity was one of three former Alexander Capital brokers charged with defrauding their customers.  The others are Rocco Roveccio and Laurence M. Torres (Marqaurdt Law Office LLC previously reported on Rocco Roveccio). The SEC filed a complaint against

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