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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Schoefield Carlin | 2238819 | 4 | 05/11/2001 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| James Hampton Simmons | 2438224 | 13 | 03/28/2001 | Customer Dispute | Pending | $7,750.00 | $0.00 | See FINRA Report |
| John Marshall Williams | 2833948 | 1 | 01/03/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Hampton Simmons | 2438224 | 13 | 11/06/2000 | Customer Dispute | Settled | $7,650.00 | $0.00 | See FINRA Report |
| Stephen William Guercio | 1523331 | 8 | 10/23/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Hampton Simmons | 2438224 | 13 | 08/28/2000 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| James Hampton Simmons | 2438224 | 13 | 08/18/2000 | Customer Dispute | Settled | $6,700.00 | $0.00 | See FINRA Report |
| James Hampton Simmons | 2438224 | 13 | 06/28/2000 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| Maroun D Mansour | 2832024 | 4 | 04/06/2000 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Stephen William Guercio | 1523331 | 8 | 03/01/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |