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Joe Appolito: $300K Complaint Against Kapolei Advisor

Commonwealth Financial Network advisor Joe Appolito (CRD# 6698) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Kapolei, Hawaii. He was formerly affiliated with firms including Ameriprise Financial Services and United Planners’ Financial Services of America.

Mr. Appolito’s BrokerCheck report discloses one investor complaint. Filed in August 2022, it alleges that as a representative of United Planners’ Financial Services of America, he breached his fiduciary duty, recommended unsuitable investments, made misrepresentations and omissions of material facts, breached contract, violated California securities law, and violated FINRA rules in connection with real estate securities. The pending complaint alleges damages of $300,000.

According to the Financial Industry Regulatory Authority, Joe Appolito holds 50 years of securities industry experience. Based in Kapolei, Hawaii, he has been a broker and an investment advisor with Commonwealth Financial Network since 2018. His past registrations include Ameriprise Financial Services (Honolulu, Hawaii; 2013-2018), United Planners’ Financial Services of America (Rancho Mirage, California; 2009-2013), Associated Securities Corporation (Palm Desert, California; 2003-2009), Wachovia Securities Financial Network (St. Louis, Missouri; 2001-2003), London Pacific Securities (Sacramento, California; 1994-2001), American General Securities (Phoenix, Arizona; 1988-1994), First Affiliated Securities (1983-1988), Financial Planners Equity Corporation (1979-1983), University Securities Corporation (1973-1978), and Ralph S. Wilford Company (1971-1973). His credentials include the passage of six securities industry qualifying exams: the General Securities Principal Examination, or Series 00; the Financial Principal Examination, or F04; the Registered Representative Examination, or Series 1; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Arizona, California, Colorado, Florida, Hawaii, Nevada, New Mexico, North Carolina, Oregon, Pennsylvania, and Texas. (Information current as of September 21, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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