Tag Archives: William C. Gennity

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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First Standard Financial Company Stockbroker Gennity Named In Fraud Arbitration

September 16, 2016  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

William C. Gennity, from Staten Island, New York, a stockbroker with First Standard Financial Company LLC, and previously registered with Alexander Capital, L.P., was named in regulatory action from Montana’s Securities Division, in which Gennity was alleged to have engaged in unauthorized and excessive trading, unsuitable investment recommendations, charging of excess fees, unauthorized use of […]

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