Alan Zelig Appelbaum (CRD #500336, Boca Raton, Florida)

September 23, 2022 – An AWC was issued in which Alan Zelig Appelbaum (CRD #500336) was barred from association with any FINRA member in all capacities. Without admitting to or denying the findings, Appelbaum consented to the sanction. This also included the entry of findings that Alan Zelig Appelbaum failed to provide documents and information requested by FINRA in connection to the examination of his sales of complex structured products. (FINRA Case #2021072524501)