Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an independent investigation into Red Bank, New Jersey financial advisor Vincent Pereira (CRD# 2933058) of Alexander Capital. As former Wall Street defense attorneys, we recognize the complex tactics and potential risks investors may encounter when dealing with financial professionals. Our firm’s deep, insider knowledge is now focused on representing investors who have suffered losses, and we guide each case with more than 95 years of combined securities law experience and a 98% success rate across hundreds of investor claims. If you have worked with Vincent Pereira or invested through Alexander Capital and have questions about your investments, we encourage you to read this report carefully and contact us for a free consultation at 1-888-885-7162.
Background: Who Is Vincent Pereira of Alexander Capital?
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Vincent Pereira is a registered broker with Alexander Capital in Red Bank, New Jersey. According to FINRA BrokerCheck, Mr. Pereira has been active in the securities industry for more than 26 years and holds licenses in 14 states. He has a significant history in the investment sector, including prior registrations with:
- Blackbook Capital
- Source Capital Group
- John Carris Investments
- Rockwell Global Capital
- Advanced Planning Securities
- Nations Financial Group
- Archer Alexander Securities
- Royce Investment Group
Mr. Pereira has passed several key securities industry licensing exams, including the Series 7, Series 63, and the Securities Industry Essentials (SIE) exam. While these credentials reflect years of experience, it is important for investors to examine the patterns and substance of regulatory disclosures and complaints associated with this advisor and his broker-dealer.
Detailed List of Investor Complaints and Disclosures
Our attorneys carefully analyze all public disclosures to identify potential red flags. Below is a comprehensive list of complaints filed against Vincent Pereira over his career:
| Date Filed | Allegations | Firm | Outcome / Status | Damages Claimed |
|---|---|---|---|---|
| May 2026 | Violations of the Securities Exchange Act, unsuitable investment recommendations, breach of fiduciary duty, violations of Regulation Best Interest. Investments include a real estate investment trust (REIT). | Alexander Capital | Pending | $375,000 |
| 2011 | Breach of fiduciary duty, failure to perform due diligence on a private placement. | Rockwell Global Capital | Settled | $40,000 |
| 2011 | Breach of contract, fraud, negligence, false statements, and supervisory failures. | Rockwell Global Capital | Settled | $150,000 |
These publicly filed investor complaints raise serious concerns for investors who have entrusted funds to Vincent Pereira. Of particular note:
- The most recent complaint (May 2026, Alexander Capital) remains pending and alleges violations including the recommendation of unsuitable investments and breach of duties owed to the client.
- Two separate 2011 complaints, both at Rockwell Global Capital, resulted in settlements of $40,000 and $150,000, respectively, and involved allegations of fraud, breach of contract, and failure to supervise.
Red Flags Investors Should Not Ignore
When evaluating the professional history of any broker, repeated complaints and settlements can signal potential patterns of misconduct or failure to adhere to industry obligations. The red flags in Mr. Pereira’s record include:
- Multiple customer complaints across different firms
- Allegations of fraud, negligence, and lack of supervisory controls
- Pending high-stakes claim (2026) involving $375,000 in damages and serious regulatory allegations
- Settlements for significant sums ($40,000 and $150,000), suggesting that clients suffered measurable losses
If you notice issues in your own account, such as unexpected trading activity, excessive risk, or losses that do not align with your risk tolerance, these could be warning signs that your advisor has not acted in your best interests.
How Our Experience and Insider Knowledge Can Make the Difference
Our attorneys at Haselkorn & Thibaut operate with a mission: to fight for investors who have suffered as a result of advisor misconduct. As former defense counsel to Wall Street firms, we bring:
- Insider knowledge of financial industry defense strategies
- A proven 98% success rate across hundreds of investor claims
- Experience involving more than $520 million in securities matters
- Recognition in the Top 2% (Martindale-Hubbell AV Preeminent) and inclusion in the Super Lawyers list
- A 5.0-star client review reputation nationwide
- No recovery, no fee — you only pay if we help you recover your funds
Our experience allows us to aggressively investigate, pursue, and advocate for recovery on your behalf, regardless of how complex or high-stakes your claim may be.
What Should You Do If You Suffered Losses With Vincent Pereira or Alexander Capital?
You do not need to navigate this process alone. If you believe you have sustained losses as a result of the actions of Vincent Pereira or anyone at Alexander Capital, we invite you to:
- Contact our firm at 1-888-885-7162 for a free, confidential consultation
- Gather your account statements and correspondence for our review
- Act promptly, as cases are often subject to strict regulatory time limits
Start the process with confidence. Our attorneys know the defense playbook inside and out, and we offer every investor a candid assessment of potential avenues for recovery. Your consultation is always free, and there is never a fee unless we help recover your losses.
How to Monitor and Investigate Advisor Complaints Yourself
While our investigation into Vincent Pereira of Alexander Capital is ongoing, investors should proactively monitor their advisors by:
- Visiting FINRA BrokerCheck and searching by name or CRD number (2933058) to review current and past disclosures
- Reviewing publicly available enforcement actions through the SEC or relevant state securities regulators
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