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
Latest Blog Posts
  • Mariondy Fernandez: Complaints Against Dorchester Financial Advisor

    Settled and pending investor complaints against former Dorchester, Massachusetts broker Mariondy Fernandez (CRD#: 2391134) allege conduct including fraud, breach of...

    Read More
  • Gary Meier: Complaints Against Vancouver Financial Advisor

    Settled and pending investor complaints against former Vancouver, Washington broker and investment advisor Gary Meier(CRD#: 1591561) allege conduct including suitability...

    Read More
  • Barry Speyer: Complaints Against Beverly Hills Financial Advisor

    Settled and pending investor complaints against Beverly Hills, California broker and investment advisor Barry Speyer (CRD#: 432002) allege conduct including...

    Read More
  • Debra Bourne: Complaints Against Red Bank Financial Advisor

    Pending investor complaints against former Red Bank, New Jersey broker Debra Bourne (CRD#: 1352344) allege conduct including unsuitable investment recommendations,...

    Read More
  • Previous
  • Next