Articles Tagged with Apex Clearing Corporation

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Our law firm represents individual and institutional investors that have been mistreated by their brokers and brokerage firms, such as Apex Clearing Corporation. Many investors do not recognize broker misconduct in their accounts, and those that do are often hesitant to seek help. Broker misconduct spans many issues that violate industry rules, including unauthorized trading, breach of fiduciary duty, unsuitable asset allocation, and churning. The attorneys at Gana Weinstein LLP can analyze your accounts and investments to determine if there was misconduct in the handling of your account.

Apex Clearing is a clearing broker-dealer providing custody, clearing, execution, prime brokerage, margin lending, securities lending, and back-office services to online brokerages, wealth managers, wealth-tech companies, and professional traders, and it also registered as a futures commission merchant in 2017. Based in Dallas and owned by Apex Clearing Holdings, which is majority owned by Chicago-based PEAK6, the firm has served more than 200 fintech and brokerage clients and supported more than 13 million customer accounts as of 2021.

Apex Clearing Corporation – By the Numbers:

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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.

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295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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