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Boca Raton Broker Alan Applebaum Involved in Several Customer Disputes

Have you lost money after investing with Boca Raton broker Alan Zelig Applebaum, currently a registered representative at Aegis Capital Corp? According to a BrokerCheck report, Applebaum has had over 16 disclosures during his 43-year career history, an incredible amount for one broker.

A History of Investment Misconduct

Applebaum faces four currently pending customer complaints, alleging that he engaged in churning and unauthorized trading and put his clients into unsuitable investments.

In his career as a broker, he has settled multiple other disputes and was forced by an arbitration panel to compensate at least one claimant. Aside from client complaints, Applebaum has also run into conflict with the State of New Hampshire, after illegally operating without an appropriate license in that state. According to BrokerCheck, he was fined $55,000 and served a “Cease and Desist” after servicing eight brokerage accounts without a license.

Seek Compensation for Your Losses

In spite of Applebaum’s disclosures, Aegis Corp has continued to employ Applebaum, putting many people at risk of investment fraud and other deceptive securities practices.

Our investment fraud attorneys at Meyer Wilson would like to invite anyone who has been affected by Applebaum’s actions to come forward. Call (800) 738-1960 if you or someone you know has been affected by Alan Applebaum in Boca Raton.

The information contained in The Firm’s posts on its blog, fraud alerts, investigations or elsewhere on the site is based upon information obtained from other sources including, but not limited to, news outlets and federal, state, and regulatory agency filings. All suspects and subjects of postings herein are presumed innocent until proven guilty in a court of law or administrative action and any and all crimes are alleged until a court or regulatory agency finds otherwise .

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