MICHAEL SCOTT ANDROULAKIS is currently employed as a Broker and/or Investment Adviser at ALEXANDER CAPITAL, L.P. located at 1150 SOUTH AVE, STATEN ISLAND, NY, 10314.
MICHAEL SCOTT ANDROULAKIS has worked at ALEXANDER CAPITAL, L.P. since June 13, 2016
Disclosure History
MICHAEL SCOTT ANDROULAKIS has 5 Disclosure Event(s).
Date: March 20, 2018 Category: Regulatory
Date: November 10, 2016 Category: Regulatory
Date: November 17, 2015 Category: Customer Dispute Allegations: Performance issue where client had losses of over $50,000 on equity transaction. Client still holds an account with Registered Representatives, client still has continued to invest and do business with Registered Representative. Damage Amount Requested: $50,000.00 Settlement Amount: $50,000.00
Date: April 24, 2015 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT MR. ANDROULAKIS MISAPPROPRIATED FUNDS, CHURNED HIS ACCOUNT, BREACHED THE FIDUCIARY DUTY OWED TO HIM AND WAS OTHERWISE NEGLIGENT IN THE OPERATION OF HIS ACCOUNT. Damage Amount Requested: $134,350.00 Settlement Amount: $50,000.00 Broker Comment: I dispute all of the allegations. The prior Broker Dealer settled the case without conferring with me.
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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