Tag Archives: Rocco Roveccio

FINRA Bars Defuct First Standard Stockbroker For Failure To Pay Arbitration Award

Rocco Roveccio of Red Bank New Jersey a stockbroker formerly associated with First Standard Financial Company LLC has been suspended by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity supported by allegations that the stockbroker neglected to comply with a customer initiated investment related arbitration award or otherwise confirm […]

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Alexander Capital Stockbroker Barred By SEC For Fraud

Rocco Roveccio of Staten Island New York a stockbroker registered with Alexander Capital L.P. has been barred from being a stockbroker or investment adviser or otherwise associating with any securities broker dealers or investment advisories according to a Securities and Exchange Commission (SEC) Order Instituting Administrative Proceedings supported by allegations that (1) Roveccio effected unauthorized […]

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Alexander Capital Stockbrokers Charged With Fraud

November 21, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

William C. Gennity, of Staten Island, New York, and Rocco Roveccio, of Freehold, New Jersey, stockbrokers employed with Alexander Capital, have been charged by Securities and Exchange Commission (SEC) in a Complaint alleging that they made fraudulent investment recommendations to customers, misrepresentations, churned customer investment portfolios, and traded without authorization from 2012 to 2014. Securities […]

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