RedFlag, Allegation and/or Complaint against DAVID FRANCIS APPEL
Disclosure #1 for DAVID APPEL
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- Event Date: 11/10/2016
- Disclosure Type: Customer Dispute
- Resolution: Settled
- Allegations: Plaintiff alleges FA’s reinvestment of his retirement funds in 2015 was misrepresented and unsuitable.
- Settlement Amount: $1,199.76
- Arbitration Docket Number:
- Broker Comment: The Firm settled the matter for $1,199.76 and rescinded the annuity without any admission of wrongdoing, solely to avoid the costs and expenses of continued litigation and to terminate the arbitration. The broker was not a party to the settlement, was not asked to continue in any way to the settlement, and did not contribute to the settlement.
Should I file a FINRA complaint against brokers like DAVID FRANCIS APPEL?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally reported on November 17, 2022 @ 9:01 pm
