Alexander James Gavin

Alexander James Gavin is currently employed as a Broker and/or Investment Adviser at JEFFERIES LLC located at 520 MADISON AVENUE, NEW YORK, NY, 10022.

Alexander James Gavin has worked at JEFFERIES LLC since August 17, 2017

Disclosure History

Alexander James Gavin has 1 Disclosure Event(s).

Date: November 03, 2011
Category: Criminal
Charges: False Identification
Disposition: Pled not guilty
Broker Comment: While I was in college, I was charged with False identification. The charge was later dismissed.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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