sec whistleblower attorneys
May 06, 2019
Laurence M. Torres, William C. Gennity, Rocco Roveccio
Trading and Pricing
SANCTION AMOUNT: 1038204.38
Defendants: Laurence M. Torres, William C. Gennity, Rocco Roveccio
Combined sanction as against three New York-based brokers, formerly associated with Alexander Capital L.P., who were charged with making unsuitable recommendations that resulted in substantial losses to customers and hefty commissions for the brokers.
- Key Docs
- Official SEC press release
