Alan Appelbaum is a former Financial Advisor at Aegis Capital Corp. in Boca Raton, FL.  Alan Appelbaum has been in the securities industry since 1976 and previously worked at Herbert J. Sims & Co. and Ryan Beck & Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Alan Appelbaum has […]

The Wolper Law Firm, P.A. previously reported that Financial Advisor, James Bradley Schwartz, was the subject of of nine (9) customer complait disclosures, alleging sales practice violations.  As of the date of this updatge, James Bradley Schwartz has now been barred  from the securities industry by the Financial Industry Regulatory Authority (FINRA).  James Schwartz is […]

The Wolper Law Firm, P.A. is currently investigating claims against Pedro Rodriguez, a Financial Advisor at Aegis Capital in Miami, Florida.  Pedro Rodriguez has been in the securities industry since 2007 and previously worked Oriental Financial Services.     According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Pedro Rodriguez has two […]