Tag Archives: Peyton Nelson Jackson

Alexander Capital Sued For Penny Stock Fraud

Peyton Nelson Jackson of New York New York a stockbroker formerly employed by Alexander Capital is the subject of a customer initiated investment related arbitration claim where the customer sought $280,000.00 in damages based upon accusations that (1) unsuitable recommendations or trades had been made by the stockbroker (2) fiduciary obligations were violated concerning restricted […]

Read More »

Alexander Capital Stockbroker Barred For Fraud

September 15, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Peyton Nelson Jackson, of New York, New York, a stockbroker formerly registered with Alexander Capital, L.P., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Hearing Officer’s Default Decision containing findings that Jackson made unsuitable investment recommendations and defrauded customers. Department of Enforcement v. Peyton […]

Read More »

Alexander Capital Stockbroker Charged With Obstructing

May 05, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Peyton Nelson Jackson, of New York, New York, a stockbroker formerly registered with Alexander Capital, L.P., and Legend Securities, Inc., has been charged by Financial Industry Regulatory Authority in a Complaint which alleges that Jackson failed to cooperate in a FINRA investigation into allegations that he effected fraudulent transactions in customer accounts. Department of Enforcement […]

Read More »

Alexander Capital Stockbroker Under Investigation

April 20, 2017  |   Posted by :   |   Churning, Investment and Regulatory News   |   0 Comments

Peyton Nelson Jackson, of New York, New York, has been subject of an investigation conducted by Financial Industry Regulatory Authority (FINRA), in which FINRA has determined that Jackson be disciplined for failing to provide information and documentation to FINRA staff in reference to allegations of his alleged wrongdoing and failing to appear before FINRA staff […]

Read More »

Alexander Capital Stockbroker Suspended For Outside Business Activities

Peyton Nelson Jackson, of New York, New York, was fined $20,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member firm after consenting to findings that he engaged in unauthorized outside business activities. Letter of Acceptance, Waiver and Consent, No. 2012032095801 (Apr. 28, 2016). According to the AWC, FINRA launched […]

Read More »