Alexander Capital

Broker Amy Zwaan in Alexander Capital, L.p. Firm Has Customer Complaint

March 24, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amy Zwaan (Zwaan), currently associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include 2 tax liens, alleging that Zwaan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 03, 2024.

Respondent Zwaan failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Broker Shadi Barakat in Alexander Capital, L.p. Firm Has Customer Complaint

March 22, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Shadi Barakat (Barakat), previously associated with Alexander Capital, L.p., has been subject to at least one disclosable event. These events include one tax lien. Several of those complaints against Barakat concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on September 09, 2024.

Barakat was named a respondent in a FINRA complaint alleging that he failed to provide on-the-record testimony requested by FINRA as a part of its investigation into whether he engaged in churning and excessive trading in his customers’ accounts. The complaint alleges that Barakat’s refusal to appear for testimony impeded FINRA’s investigation into his potential misconduct.

There are Recent Customer Complaints with Broker Toniann Maisano in Firm Alexander Capital, L.p.

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Toniann Maisano (Maisano), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one tax lien, alleging that Maisano recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on September 10, 2024.

Associate answered questions incorrectly on a life insurance application. DID KNOWINGLY PROVIDE MATERIALLY FALSE INFORMATION ON ANAPPLICATION FOR LIFE INSURANCE BY FAILING TO DISCLOSE A PRE-EXISTINGMEDICAL CONDITION IN VIOLATION OF N.J.S.A. 17:33A-1.

There are Recent Customer Complaints with Broker Jesus Quezada in Firm Alexander Capital, L.p.

March 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesus Quezada (Quezada), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Quezada recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on October 02, 2024.

CUSTOMER ALLEGES LACK OF SUITABILITY, FAILURE TO SUPERVISE & MISREPRESENTATION & OMISSION OF MATERIAL FACTS IN CONNECTION WITH INVESTMENTS IN ALTERNATIVE INVESTMENTS.

There are Recent Customer Complaints with Broker Jonathan Gazdak in Firm Alexander Capital, L.p.

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Gazdak (Gazdak), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Gazdak recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,694,000.00 on October 17, 2024.

Alleges: Breach of Fiduciary Duty, Fraudulent Inducement, Negligence, Breach of Contract, Violation of FINRA Rule 2010, Equity

There are Recent Customer Complaints with Broker Joseph Amato in Firm Alexander Capital, L.p.

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Amato (Amato), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Amato recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,694,000.00 on October 17, 2024.

Breach of Fiduciary Duty, Fraudulent Inducement, Negligence, Breach of Contract, Violation of FINRA Rule 2010, Equity. February 2021.

There are Recent Customer Complaints with Broker Shawn Weadock in Firm Alexander Capital, L.p.

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Weadock (Weadock), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Weadock recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,694,000.00 on October 17, 2024.

Alleges: Breach of Fiduciary Duty, Fraudulent Inducement, Negligence, Breach of Contract, Violation of FINRA Rule 2010, Equity. February 2021.

Broker Christopher Laffey in Alexander Capital, L.p. Firm Has Customer Complaint

March 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Laffey (Laffey), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Laffey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,694,000.00 on October 17, 2024.

Alleges: Breach of Fiduciary Duty, Fraudulent Inducement, Negligence, Breach of Contract, Violation of FINRA Rule 2010, Equity. February 2021.

There are Recent Customer Complaints with Broker Roger Roemmich in Firm Alexander Capital, L.p.

March 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Roemmich (Roemmich), currently associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roemmich recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,200,000.00 on January 16, 2025.

Allegations include suitability, and false and/or materially misleading statements.

There are Recent Customer Complaints with Broker Nikolaos Paloumbis in Firm Alexander Capital, L.p.

February 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nikolaos Paloumbis (Paloumbis), previously associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Paloumbis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $23,214.89 on June 23, 2023.

Suitability, Failure to Supervise, Negligence