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https://www.sec.gov/litigation/litreleases/2019/lr24392.htm
According to the SEC's complaint, among other misrepresentations, Alexander told investors that they would make a minimum of ten times their investment, Alexander had personally invested millions of dollars in Kizzang, Alexander had made a $50 million charitable donation, and that he had led the creation of a prominent video game.
https://www.sec.gov/news/press-release/2017-180
Sep 28, 2017 · An SEC examination of the firm Alexander Capital L.P. detected potential misconduct among certain brokers, and the ensuing investigation has led to the filing of an SEC complaint against William C. Gennity and Rocco Roveccio. The SEC also issued an order against Laurence M. Torres.
https://www.whitesecuritieslaw.com/2017/10/05/alexander-capital/
Oct 05, 2017 · SEC reportedly charges Alexander Capital Brokers. Alexander Capital LP Named in the Complaint. According to a press announcement on September 28, 2017, the Securities and Exchange Commission charged three New York-based brokers with making unsuitable recommendations in order to earn large commissions. The recommendations reportedly resulted in ...
https://www.securitieslawyer101.com/2019/sec-r-alexander-defrauding-investors/
The SEC’s complaint, filed in the U.S. District Court for the Southern District of New York, charges Robert Alexander and Kizzang with violating Section 17(a) of the Securities Act and Section 10(b) of the Securities Exchange Act and Rule 10b-5 and seeks permanent injunctions, civil monetary penalties, and disgorgement of ill-gotten monetary ...
https://www.wsj.com/articles/sec-charges-former-insurance-wunderkind-alexander-chatfield-burns-with-fraud-1539788096
The SEC charged Alexander Chatfield Burns, a former insurance industry wunderkind, with fraud, claiming he and an associate diverted more than $300 million from insurers they controlled.
https://thediwire.com/sec-charges-co-owners-defunct-private-equity-firm-allegedly-defrauding-advisory-clients/
Oct 24, 2018 · The Securities and Exchange Commission has charged the two co-owners of a now-defunct New York-based private equity firm with allegedly defrauding the firm’s advisory clients and pocketing millions in fees. One of the co-owners has since consented to a judgment, without admitting or denying the allegations.The SEC’s complaint claims that Alexander Burns, with the assistance […]
https://www.finra.org/sites/default/files/OHODecision/p006511_0.pdf
Complaint against Respondents J. Alexander Securities, Inc. (sometimes referred to as “ALEX,” its trading name), Richard Newberg, James Alexander, and Dennis Sturm. This Complaint alleged various violations of NASD and SEC Rules, the Securities Act of 1933, and the Securities Exchange Act of 1934.
https://ilsos.gov/ContactFormsWeb/secdeptcomplaintform.jsp
Securities Complaint Contact Form Please complete the following information to submit a complaint about a company or individual. The Securities Department will investigate your complaint and, if violations of the law are discovered, your complaint may lead to administrative, civil or criminal action.
http://www.adviserinfo.sec.gov/IAPD/Content/Search/iapd_Search.aspx
IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators
https://www.forbes.com/sites/nathanvardi/2018/04/02/sec-charges-mozido-founder-michael-liberty-of-defrauding-200-investors/
Apr 02, 2018 · According to the 66-page complaint the SEC filed in federal court in Maine, Liberty sold investors promissory notes issued by shell companies by …
https://www.courthousenews.com/sec-says-old-timers-ran-15-million-ponzi/
Nov 20, 2012 · Billy W. McClintock, of Bradenton, Fla., and Dianne Alexander aka Linda Dianne Alexander, of Carlsbad, Calif., took $15 million from 220 or more investors, primarily in Georgia, where Alexander used to live, according to the SEC. ... According to the SEC complaint: “This matter involves an ongoing ‘prime bank’ scheme (a brand of Ponzi ...
https://www.investmentnews.com/sec-charges-three-brokers-with-high-cost-unsuitable-trading-72305
Sep 28, 2017 · The agency filed a complaint against William C. Gennity and Rocco Roveccio, who worked as registered representatives from 2012 to 2014 at Alexander Capital LP, a …
https://complianceconcourse.willkie.com/articles/news-alerts-2019-08-august-20190814-prison-sentences-forfeiture-civil-penal
Aug 14, 2019 · The complaint alleges further that Beshey shared the information with three friends, Chastity Clark, Christopher Bonvissuto and Peter Kourtis, who tipped additional individuals Alexander Carlucci, Dimitri Kandalepas, Eric Weller and Austin Mansur, resulting in a profit of $866,628.87.
http://www.thenewjournalatyale.com/2011/04/title-ix-taking-yale-to-court/
Apr 18, 2011 · Title IX: Taking Yale to Court. Published on April 18, ... and we are confident that in responding to the complaint to the Department of Education under Title IX, the University will become a safer, better place for students of both sexes. ... Ann Olivarius was …Author: Ann Olivarius
https://www.washingtonpost.com/politics/lt-col-alexander-vindman-reveals-in-testimony-that-he-told-an-intelligence-official-about-trumps-call-with-ukrainian-leader/2019/11/19/61c46b16-0ae4-11ea-8397-a955cd542d00_story.html
Nov 19, 2019 · Lt. Col. Alexander Vindman, the National Security Council’s European affairs director, said he considered the president’s demand of the Ukrainian leader “inappropriate,” because it could ...
https://advisorhub.com/sec-charges-navellier-owner-fraud/
Aug 31, 2017 · Calls to the CEO were directed to Tonya Alexander, the firm’s chief compliance officer, who did not respond to a request for comment. ... the SEC complaint said, quoting the internal document ...
https://www.thinkadvisor.com/2019/05/10/sec-settles-with-friends-like-these-insider-trading-case-enforcement/
May 10, 2019 · The SEC’s complaint alleges that Rocco Roveccio, who was formerly associated with New York-based broker-dealer Alexander Capital L.P., recommended to …
https://dockets.justia.com/docket/oklahoma/okndce/4:2019cv00634/49860
Nov 25, 2019 · Filing 2 COMPLAINT against All Defendants paid $400.00 filing fee, receipt number AOKNDC-2140654 by Bank of America, N.A. (With attachments) (Sokolosky, Alexander) Modified on 11/26/2019 to add receipt number (dlg, Dpty Clk). November 25, 2019
https://investor.jalexandersholdings.com/contact-us
J. Alexander’s Holdings, Inc., operator of J. Alexander’s, Redlands Grill and Stoney River Steakhouse and Grill, focuses on providing high quality food, outstanding …
https://www.usatoday.com/story/money/2017/01/27/two-charged-hamilton-ticket-resale-ponzi-scheme/97152050/
Jan 27, 2017 · Two charged in Hamilton ticket resale Ponzi scheme. ... according to a SEC federal civil complaint filed in ... Tickets to the rap and hip-hop retelling of heroism and plotting by Alexander ...
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