Broker Rocco Roveccio Sanctioned By FINRA, SEC The Financial Industry Regulatory Authority (“FINRA”) just sanctioned First Standard Financial Company securities broker Rocco Roveccio (CRD#: 2713144, Red Bank, New Jersey). The sanctions come after SEC barred the securities broker and after 6 investors filed disputes against him. Namely, these disclosures suggest that Roveccio sold unsuitable investments […]

The Securities and Exchange Commission (SEC) charged three New York-based brokers with making unsuitable recommendations that resulted in substantial losses to their clients and large commissions for the brokers, in September of 2017. An SEC examination of the firm Alexander Capital L.P. detected alleged misconduct among some brokers, and the investigation led to the filing […]