Securities Lawyers Blog
Currently financial advisor Ronald Appler (Appler), currently employed by brokerage firm Independent Financial Group, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.
FINRA BrokerCheck shows a final customer complaint with a damage request of $300,000.00 on June 07, 2024.
Clients allege that Financial Professional misrepresented investments in BDCs and REITs and that the investments were unsuitable.