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Tag: Alan Appelbaum lawsuit

Aegis Broker Alan Appelbaum Barred, featured by top top securities fraud attorneys, the White Law Group

Blog, Broker Investigations, FINRA SEC Sanctions

December 8, 2023

Aegis Broker Alan Z. Appelbaum Barred after Allegations

Alan Appelbaum Allegedly made Unsuitable, Unauthorized Trades  The White Law Group continues to investigate potential securities claims...

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SEC Charges Aegis Capital Corp. and two Reps with Unsuitable Recommendations, featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

August 1, 2022

SEC Charges Aegis with Unsuitable Recommendations  

Alan Appelbaum, Paul Gallivan of Aegis Allegedly recommended Highly Complex Structured Products to customers  According to a press release...

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