Close Menu
Free Consultation: 888-976-6111

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.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Kiran Devarapalli: Leaders Group Advisor Fired by LPL

    Littleton, Colorado financial advisor Kiran Devarapalli (CRD# 6416586) was recently fired by LPL Financial in connection with alleged rule violations....

    Read More
  • Max & Randy Birkinbine: Ausdal Advisors Face GWG Complaint

    North Oaks, Minnesota financial advisors Max Birkinbine (CRD# 6836583) and Randy Birkinbine (CRD# 2008599) have received an investor complaint alleging...

    Read More
  • Bruce Johnson: L Bond Complaint Against Portsmouth Financial Advisor

    San Francisco financial advisor Bruce Johnson (CRD# 1126862) allegedly misrepresented investments in GWG L bonds, according to an investor complaint....

    Read More
  • Cataldo Panici: $355K REIT Complaint Against Wintrust advisor

    Frankfort, Illinois financial advisor Cataldo Panici (CRD# 2112617) recently received an investor complaint alleging damages of more than $300,000. Financial...

    Read More
  • Previous
  • Next