Articles Posted in Alan Appelbaum

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Appelbaum (Appelbaum), previously associated with Aegis Capital Corp., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Appelbaum recommended unsuitable investments in different investment products including debt securities…

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Alan Appelbaum (Appelbaum), currently associated with Aegis Capital Corp. (Aegis), has been subject three regulatory actions and at least thirteen customer complaints.  The customer complaints against Appelbaum concern various allegations of misconduct including churning, unauthorized trading, and…