Action against Respondent, a registered representative and supervisor at Alexander Capital, L.P., in connection with his failure to supervise other registered representatives.  The SEC alleges that the Respondent ignored red flags relating to a pattern of representatives providing unsuitable investment advice, conducting unsuitable trades for retail clients, and churning in a customer account.  Respondent has agreed to pay a civil penalty of $15,000.

Related to In re Alexander Capital, L.P. 

SEC Order 

SEC Press Release