Alexander Capital L.P.
Financial crimeUnited States. Named in 3 sanctions listings.
Sanctions and listings3
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/31/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047616401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alexander Capital, L.P., Respondent Member Firm BD No. 40077 Thomas Sullivan, Respondent Financial Operations Principal CRD No. 1145000 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Alexander Capital, L.P. ("Alexander Capital" or the "Firm") and Thomas Sullivan ("Sullivan")(collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2016047616401finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/29/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039351101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alexander Capital, L.P., Respondent BD No. 40077 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Alexander Capital, L.P. ("ACLP" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2014039351101data-portal.finra.orgfinra.org
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