Alex Williams (CRD# 2646185), a broker and investment adviser based in New York, has received a pending customer complaint. According...Read More
Alan Siegel: Complaints Against North Easton, Mass. Financial Advisor
Settled and pending investor complaints against North Easton, Massachusetts broker and investment advisor Alan Siegel (CRD#: 2216936) allege conduct including over-concentration, material omissions, suitability violations and more. Siegel has been a representative of GA Repple & Company since 2002, according to information drawn from Financial Industry Regulatory Authority records.
A pending 2018 complaint alleges that as a representative of GA Repple & Company, Alan Siegel made unsuitable investment recommendations, over-concentrated the account, and made omissions of material facts in connection to a bond purchase and a limited partnership investment. The complaint alleges unspecified damages.
A 2015 complaint alleged that as a representative of GA Repple & Company, Alan Siegel recommended an unsuitable church bond. The complaint reached a settlement of $6,327.97.
A 2012 complaint alleged that as a representative of GA Repple & Company, he recommended unsuitable investments, over-concentrated the account, and omitted material facts. The complaint reached a settlement of $42,500.
A 2011 complaint alleged that as a representative of GA Repple & Company, he breached his fiduciary duty, acted negligently, committed fraud, and over-concentrated investments. The complaint reached a settlement of $20,000.
Alan Siegel has also been the subject of one regulatory sanction: specifically, he was censured by the Massachusetts Securities Division in July 2018 over allegations he “published false information on his website and failed to update this information for at least 7 years.” He was issued a cease-and-desist order and a fine of $10,000.
Alan Siegel has been registered with GA Repple & Company in North Easton, Massachusetts since 2002. His employment history includes Walnut Street Securities in El Segundo, California; North American Securities in Sioux Falls, South Dakota; and New England Securities in New York, New York. He currently holds 14 state licenses and has passed four securities industry qualification examinations.