Alexander Capital

There are Recent Customer Complaints with Broker Clarence Patton in Firm Alexander Capital, L.p.

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clarence Patton (Patton), previously associated with Alexander Capital, L.p., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Patton 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 $1,000,000.00 on December 13, 2022.

Claimants allegations; Count I, Breach of Fiduciary duty; Count II, Violation of FINRA NYSE Rules, Regulation Best Interest, Breach of Contract, and Negligence; Count III, Failure to Supervise; Count IV, Violation of FL Securities and Investor Protection Act, section 517.

There are Recent Customer Complaints with Broker Amy Zwaan in Firm Alexander Capital, L.p.

November 1, 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 one disclosable event. These events include one customer complaint, alleging that Zwaan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 19, 2025.

Claimants allege breach of fiduciary duty and engaging in prohibited transactions with respect to an ERISA plan from 2023-2024.

Broker Robert Omohundro in Alexander Capital, L.p. Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 14, 2025.

Breach of Fiduciary Duty; Aiding and Abetting; Negligence (Failure to Supervise). Violations of Georgia State Laws. Beginning 2020 through2024.

Broker Roger Roemmich in Alexander Capital, L.p. Firm Has Customer Complaint

October 15, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Roemmich (Roemmich), previously associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, 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 on July 14, 2025.

Breach of Fiduciary Duty; Aiding and Abetting; Negligence (Failure to Supervise). Violations of Georgia State Laws. Beginning in early 2020 through 2024.

Broker James Mayes in Alexander Capital, L.p. Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mayes (Mayes), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Mayes 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 $100,000.00 on March 28, 2023.

Unsuitability; Misrepresentation

There are Recent Customer Complaints with Broker John Femiano in Firm Alexander Capital, L.p.

September 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Femiano (Femiano), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Femiano 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 $100,000.00 on April 13, 2023.

Unsuitable investments

Broker Joseph Amato in Alexander Capital, L.p. Firm Has Customer Complaint

September 4, 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 on July 14, 2025.

Breach of Fiduciary Duty; Aiding and Abetting; Negligence (Failure to Supervise). Violations of Georgia State Laws.

There are Recent Customer Complaints with Broker Rocco Guidicipietro in Firm Alexander Capital, L.p.

September 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on July 14, 2025.

Breach of Fiduciary Duty; Aiding and Abetting; Negligence (Failure to Supervise). Violations of Georgia State Laws.

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

August 17, 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 $499,000.99 on June 10, 2025.

Allegations include; breach of fiduciary duties; failure to supervise; negligence and gross negligence; violation of FINRA Rules, violation of the federal securities laws, and violation of the Best Interest Obligations (Reg BI).\, December 2018 & May 2019.

Broker Rocco Guidicipietro in Alexander Capital, L.p. Firm Has Customer Complaint

August 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rocco Guidicipietro (Guidicipietro), currently associated with Alexander Capital, L.p., has at least one disclosable event. These events include one customer complaint, alleging that Guidicipietro 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 $499,000.99 on June 10, 2025.

Allegations include; breach of fiduciary duties; failure to supervise; negligence and gross negligence; violation of FINRA Rules, violation of the federal securities laws, and violation of the Best Interest Obligations (Reg BI).\, December 2018 & May 2019.