DAVID FRANCIS APPEL at WELLS FARGO CLEARING SERVICES, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 5497435
DAVID FRANCIS APPEL is an Investment Adviser, associated with WELLS FARGO CLEARING SERVICES, LLC located at LARCHMONT, NY. DAVID APPEL’s Central Registration Depository (CRD) number is 5497435 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for DAVID APPEL

    • 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    • Broker Comment: The Firm settled the matter for $1,199.76 and rescinded the annuity without any admission of wrongdoing, solely to avoid the costs and expenses of continued litigation and to terminate the arbitration.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.
See also  BRIAN DOUGLAS MILLS at EQUITABLE ADVISORS, LLC - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

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.

Update - 2022.11.15If you have suffered investment losses that may have been caused by DAVID FRANCIS APPEL’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

See also  SCOTT WILLIAM ALLERTON at WELLS FARGO CLEARING SERVICES, LLC - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

BrokerAudit.com helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.

Frequently Asked Questions About DAVID FRANCIS APPEL

What is DAVID APPEL's Central Registration Depository (CRD) Number?


Which firm is DAVID FRANCIS APPEL associated with?


Where is DAVID APPEL located?


Where can I find more details about DAVID APPEL's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/19616 to read a detailed report for WELLS FARGO CLEARING SERVICES, LLC

Are there any disclosures, allegations or complaints filed against DAVID FRANCIS APPEL?

Yes. There are disclosures, allegations, or complaints filed against DAVID FRANCIS APPEL. Click here to view all details

Where can I download a detailed FINRA report for DAVID APPEL?

Click here to download a detailed FINRA report for DAVID APPEL

Is it safe to do business with DAVID FRANCIS APPEL?

We’re not sure. Please research DAVID APPEL’s disclosures, allegations and complaints before taking a decision

See also  EFRAIN TORO at LPL FINANCIAL LLC - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

Report Inaccuracy

All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.


Originally reported on November 17, 2022 @ 9:01 pm

Share your experience with this broker

Leave a reply

Broker Audit
Register New Account