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 |
|---|---|---|---|---|---|---|---|---|
| Roy Joseph Failla | 2786551 | 4 | 01/04/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ty Kevin Bauer | 2150885 | 4 | 10/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Earle Pitman | 2281587 | 3 | 07/23/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Matthew Ruggiere | 2548108 | 1 | 07/13/2020 | Customer Dispute | Denied | $165,726.00 | $0.00 | See FINRA Report |
| Christopher Schoefield Carlin | 2238819 | 4 | 11/20/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Francis Sullivan | 1145000 | 3 | 10/31/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Allan Roemmich | 1293322 | 4 | 09/17/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Vito Antonio Francone | 2349326 | 3 | 08/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Justin Roel Mendoza | 4902192 | 4 | 08/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Justin Roel Mendoza | 4902192 | 4 | 08/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |