Investors potentially experienced sales practice violations due to securities broker Shane Appelbaum [CRD: 4772668, Boca Raton, Florida], based on disclosures on FINRA BrokerCheck. Specifically, Appelbaum has worked for Herbert J. Sims Co. Inc. since March 23, 2004, and also with Herbert J. Sims Capital Management Inc. since March 8, 2017. Read on to learn more […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Karen Degro [CRD: 5048237, Boca Raton, Florida]. Evidently, Karen Degro worked for UBS Financial Services Inc. from April 27, 2016, to October 3, 2023, and works for Herbert J. Sims Co. Inc. as of September 22, 2023. Degro has been involved in client disputes […]