Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Capuzzi (Capuzzi), currently associated with Apex Clearing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Capuzzi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $29,000.00 on July 14, 2021.
Customer is alleging that Apex Clearing was negligent in the servicing of his account introduced by Ally Invest during the period of January through February of 2021, leading to a loss in account value. Specifically, the customer alleges that the account was the subject of erroneous margin calls and account position transfers.