Casey J. Alexander, of New York, New York, a stockbroker formerly registered with Gilford Securities Incorporated, has been subject to a customer initiated investment related arbitration claim on December 2, 2014, which was settled for $50,000.00 in damages based upon allegations that Alexander, as a control person for Gilford Securities, was liable for the wrongful acts of a subordinate stockbroker.
FINRA Public Disclosure records reveal that Alexander was subject to two previous customer arbitrations. Particularly, on January 25, 1989, a customer initiated investment related arbitration claim involving Alexander’s actions was resolved for $44,750.00 in damages based upon allegations that Alexander, while associated with Prudential-Bache Securities Inc., effected stock trades in the customer’s investment account which were not suitable.
Subsequently, on August 22, 1994, a customer initiated investment related arbitration claim involving Alexander’s conduct was settled for $10,000.00 in damages based upon allegations that Alexander, while associated with PaineWebber Incorporated, effected unsuitable stock transactions in the customer’s retirement account, causing the customer to suffer investment losses.
Alexander’s registration with Gilford Securities Incorporated ended in October of 2015. From October of 2015 to May of 2016, Alexander was registered with Ladenburg Thalmann & Co. Inc. Alexander has been registered with Compass Point Research & Trading, LLC since June of 2016.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
