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)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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