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

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