TAG | broker failure to comply with FINRA requests
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.”
David Appel (CRD #1026798, Registered Representative, Brooklyn, New York)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Appel consented to the described sanction and to the entry of FINRA’s findings that he failed to completely respond to FINRA requests for information and documents in connection with inquiries concerning sales of promissory notes.
(FINRA Case #2009020303101)
On FINRA’s BrokerCheck, David Appel was registered with the following:
PARK AVENUE SECURITIES LLC
NEW YORK, NY
01/2001 – 03/2011
ROYAL ALLIANCE ASSOCIATES, INC.
NEW YORK, NY
11/1989 – 05/2009
BERKSHIRE EQUITY SALES, INC.
02/1982 – 08/2000
This the information from FINRA’s website.
If you have experienced a financial loss due to your broker/financial advisor’s recommendation, call Soreide Law Group for a free consultation with an attorney at: 888-760-6552.
Berkshire Equity Sales Inc · broker failure to comply with FINRA requests · David Appel barred by FINA · David Appel Brooklyn NY · David Appel sale of promissory notes · failure to respond to FINRA requests · Park Avenue Securities LLC · promissory note sale · promissory notes · Royal Alliance Associates Inc
Comments off · Posted by Securities Lawyer in FINRA
The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.”
This ends the information from FINRA’s website.
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