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John Owen Slipek with Alexander Capital, L.P. Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years

Who is John O. Slipek with Alexander Capital, L.P.?

John Slipek (CRD #4274243) who is currently registered with Alexander Capital, L.P.and located in Staten Island, New York is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to Alexander Capital, L.P., John Slipek has associated with6 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Alexander Capital, L.P. Broker Misconduct

In his career, John Slipek has been the subject of 5 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. One of John Slipek’s 5 customer complaints was settled in favor of investors.

Two of the customer complaints were denied by John Spliek’s former employer to date, no action was taken by the customers.  There are currently 2 pending customer complaints filed against John Slipek’s current employer Alexander Capital, L.P.for investment losses caused by his alleged misconduct.

Allegations Against John Slipek

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • the claimant alleged unsuitable investment recommendations, excessive trading, misrepresentation, and breach of fiduciary duty connection with stock transactions.
  • The client alleged unauthorized trading.
  • The client alleged unauthorized trading, churning, resulting in excess of commissions being paid to the financial advisor.
  • The customer alleged unsuitable investment recommendations resulting in over-concentrated positions in certain equity sectors and churning of his portfolio

John Slipek Red Flags & Your Rights as An Investor

Of course, John Slipek did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John Slipekat Alexander Capital, L.P. on alert to review carefully the activity and performance of their accounts and question whether John Slipekhas engaged in any stockbroker misconduct that may have caused them investment losses.

A large number of customer complaints at Alexander Capital, L.P.also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim to Recover Your Investment Losses At Alexander Capital, L.P.

If you have questions about Alexander Capital, L.P. and/or John Slipekand the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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