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Alexander Capital

Jason Harris Klabal’s Former Customers May Still Have Options to Recover Losses

On February 12, 2018, the Financial Industry Regulatory Authority, Inc. (FINRA) permanently barred Jason Harris Klabal from associating in any capacity with FINRA member firms.  FINRA registers and regulates brokers and brokerage firms. Previously, FINRA suspended Klabal on December 4, 2017 for alleged misconduct.  FINRA said it permanently barred Klabal after he failed to request

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Laurence Torres Investors May Have Options to Recover Their Losses

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

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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Rocco Roveccio Investors May Have Options to Recover Their Losses

On April 11, 2018, the Securities and Exchange Commission (SEC) announced in a press release that Rocco Reveccio was one of three former Alexandre Capital brokers charged with defrauding their customers.  The others are William C. Gennity and Laurence M. Torres. The SEC filed a complaint against Reveccio and Gennity in the U.S. District Court

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Michael Androulakis, Stockbroker at Alexander Capital, Suspended for Alleged Unsuitable Leveraged ETF Recommendations to Seniors

According to public records, on March 20, 2018, FINRA suspended stockbroker Michael Scott Androulakis from associating with any FINRA member firms for three months.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates stockbrokers and brokerage firms. FINRA announced the sanction in its Letter of Acceptance, Waiver and Consent (AWC).  The AWC alleges Michael Androulakis

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