DID RONALD HELLER APPLER SR CAUSE YOU INVESTMENT LOSSES?
Ronald Appler Sr Of Independent Financial Group, LLC Has 3 Customer Complaints For Alleged Broker Misconduct
About Ronald Appler Sr of Independent Financial Group, LLC?
Ronald Appler Sr (CRD #2499039) is currently registered with Independent Financial Group, LLC in Sykesville, Maryland, since April 6, 2017. His extensive career in the financial industry has seen him pass three general industry/product exams and two multi-state securities law exams. He is licensed in seven U.S. states and territories and has had previous registrations with several firms including H. Beck, Inc., LaSalle St Securities, L.L.C., and CBIZ Financial Solutions, Inc. His diverse background highlights his longstanding commitment to the securities industry.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Ronald Appler Sr Customer Complaints and Reviews
Ronald Appler Sr.’s BrokerCheck record includes three customer disputes:
- Customer Dispute (Resolved): Filed on February 28, 2018, the client alleged poor performance and high fees concerning mutual fund accounts deemed abandoned. This dispute was denied on March 28, 2018, with no settlement or damages awarded.
- Customer Dispute (Resolved): A similar complaint was filed on March 14, 2018, with the same allegations and outcome.
- Customer Dispute (Pending): Filed on June 7, 2024, clients allege that investments in BDCs and REITs were misrepresented and unsuitable. The case is pending arbitration, with damages believed to be over $300,000.
Allegations Against Ronald Appler Sr
The allegations made against Ronald Appler Sr. in disclosed customer disputes include:
- Poor Performance and High Fees: Clients have alleged that Appler’s management of their mutual fund accounts resulted in poor performance and unnecessarily high fees.
- Misrepresentation and Unsuitability: The most recent pending dispute involves allegations of misrepresentation of investment suitability, particularly concerning investments in Business Development Companies (BDCs) and Real Estate Investment Trusts (REITs), suggesting a serious breach of fiduciary duties if proven true.
Ronald Appler Sr Red Flags & Your Rights As An Investor
Of course, Ronald Appler Sr did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ronald Appler Sr at Independent Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether Ronald Appler Sr has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Independent Financial Group, LLC Due To Ronald Appler Sr
If you have questions about Independent Financial Group, LLC and/or Ronald Appler Sr and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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