Our Staff has compiled our research into a database of FINRA Broker Disclosures for Alexander Capital, L.P.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Robert Lloyd Omohundro | 2415942 | 6 | 06/14/2004 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| David Ray Carpinello | 3256507 | 1 | 07/21/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| James Hampton Simmons | 2438224 | 13 | 03/13/2003 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| James Hampton Simmons | 2438224 | 13 | 09/09/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| James Hampton Simmons | 2438224 | 13 | 02/26/2002 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| James Hampton Simmons | 2438224 | 13 | 02/08/2002 | Customer Dispute | Settled | $1,105,000.00 | $0.00 | See FINRA Report |
| James Hampton Simmons | 2438224 | 13 | 10/15/2001 | Customer Dispute | Settled | $295,000.00 | $0.00 | See FINRA Report |
| Stephen William Guercio | 1523331 | 8 | 07/12/2001 | Customer Dispute | Withdrawn | $30,000.00 | $0.00 | See FINRA Report |
| Christopher Schoefield Carlin | 2238819 | 4 | 05/28/2001 | Customer Dispute | Settled | $107,000.00 | $0.00 | See FINRA Report |
| Christopher Schoefield Carlin | 2238819 | 4 | 05/11/2001 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |