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 |
|---|---|---|---|---|---|---|---|---|
| Joel Edward Smith | 2910505 | 1 | 03/31/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roy Joseph Failla | 2786551 | 4 | 05/25/2010 | Customer Dispute | Settled | $417,000.00 | $0.00 | See FINRA Report |
| Roy Joseph Failla | 2786551 | 4 | 02/19/2010 | Customer Dispute | Settled | $299,817.00 | $0.00 | See FINRA Report |
| Vincent Louis Pereira | 2933058 | 13 | 09/24/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Francis Stefanelli | 2566917 | 6 | 07/17/2009 | Customer Dispute | Settled | $20,472.00 | $0.00 | See FINRA Report |
| Andrew Patrick Murino | 4162699 | 3 | 05/28/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vincent Louis Pereira | 2933058 | 13 | 03/11/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Earle Pitman | 2281587 | 3 | 01/12/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Francis Femiano | 2132030 | 5 | 11/04/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Vincent Louis Pereira | 2933058 | 13 | 09/19/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |