亚历山大资本经纪人被指控搅动|投资者律师博客

这美国证bob200体育券交易委员会(SEC) has secured a final judgment against ex-Alexander Capital broker William Gennity, who is accused of excessive churning in clients’ brokerage accounts. Gennity, whom theFinancial Industry Regulatory Authority（FINRA）早些时候已暂停，将支付近12.8万美元的垃圾货币，近15,000美元的前裁决和16万美元的民事罚款。

SEC的抱怨被指控Gennity推荐了昂贵的，在7/2012至8/2014之间向四个客户“进行交易”，而没有任何合理的理由认为这样做会导致他们赚钱。取而代之的是，他们损失了金钱，而Gennity赚钱。据称，当他是亚历山大资本经纪人时，据称发生了搅动。

搅动typically involves a broker engaging in trades in order to earn more commissions.

With about 13 years working in the securities industry, Gennity has been employed at nine other brokerage firms, including First Standard Financial Company, Capital, Legend Securities, National Securities, JP Turner & Company, and Joseph Stevens & Company. His BrokerCheck record shows several customer disputes, three of them still pending. Two of the investor claims were settled. Allegations against him include churning, unauthorized trading, breach of fiduciary duty, unauthorized margin use, excessive fees, unsuitable concentration, and fraud.

InvestmentNews，在有关SEC对此事的最终判断的文章中，将Gennity描述为“蟑螂”经纪人。“蟑螂”一词是指经纪人从一个经纪交易商跳到另一个经纪人，通常转到更有可能容忍或忽略不良行为的公司。

去年，亚历山大资本（Alexander Capital）解决了SEC指控，指控经纪公司及其两家经理对其三个经纪人的监督不足，其中包括Gennity，他们被指控搅动，向客户提出不合适的建议，甚至未经授权的交易也导致了重大损失，甚至导致了重大损失当经纪人赢得了巨大的佣金。

另外两个经纪人是劳伦斯·托雷斯（Laurence M.经纪交易商同意谴责并支付近19.4万美元的据称不坦率的收益，23,000美元的利息和近194,000美元的罚款。民事案件中提到的两位亚历山大资本经理是巴里·艾森伯格（Barry Eisenberg）和菲利普·诺托（Philip Noto）。

SEC酒吧经纪人130万欺诈

在最近的SEC最近案件中，最终判决，前经纪人约翰·格雷戈里·施密特（John Gregory Schmidt）解决了指控，指控他出售了几个零售经纪客户的证券bob200体育the latter’s accounts.

这transactions purportedly involved variable annuities that were sold without clients’ authorization. The majority of his victims were older, inexperienced investors. Meantime, Schmidt earned more than $230K in commissions from those who were impacted by his alleged investor fraud.

Schmidt, who worked in the securities industry for nearly four decades, was barred by FINRA. He was previously a registered broker with Wells Fargo (WFC), Stifel Nicolaus & Company (SF), First Union, and other firms. Now, he is settling the SEC’s civil charges without denying or admitting to wrongdoing.

经纪人欺诈

我们的经纪人不当行为律师are dedicated to helping investors who were harmed in recovering their financial losses. We have helped clients recover their money lost due to the following and more:

保证金帐户滥用
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未经授权的交易
Negligence
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监督不足
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ContactShepherd Smith Edwards和Kantas，LLP（SSEK律师事务所）并要求今天与经验丰富的经纪人欺诈律师交谈。