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Tag: Alan Appelbaum lawsuit

Blog, Current Investigations

Aegis Broker Alan Z. Appelbaum Barred after Allegations of Unsuitable Structured Products Sales  

FINRA Reportedly Bars Alan Appelbaum, of Aegis, after SEC charges him with Unsuitable, Unauthorized Trades  According to a Letter of...

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Blog, Current Investigations

SEC Charges Aegis Capital Corp. and two Reps 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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