Who is Roy Apple (CRD#:Â 1553986)?Everything you need to know about Roy Apple and their accolades
Roy Apple is an Investment Advisor Representative working at J.P. Morgan Securities LLC in Palm Beach Gardens, FL. Roy has been designated as a Portfolio Manager by J.P. Morgan. As a member of this select group of advisors.
Roy grew up in Troy, New York, the youngest of five boys, and his interest in numbers propelled him to earn a B.S. in Finance from Florida State University. He and his wife, Sharon, live in Juno Beach with their son, Jake, and daughter, Phoebe.
About J.P. Morgan Wealth Management:History, achievements, leadership, lawsuits, & disputes
JPMorgan Chase & Co. is a Delaware-incorporated, New York City-based international financial services business. By market capitalization, it is the biggest bank in the US and the biggest bank globally (as of 2023). The Financial Stability Board views the company as having systemic importance because it is the largest of the Big Four banks. Due to its size and scope, regulatory control has been strengthened, and a “Fortress Balance Sheet” of capital reserves is kept on the inside. The company will move into the JPMorgan Chase Building, which is currently under development, in 2025 from its current location at 383 Madison Avenue in Midtown Manhattan.
The formation of the organization that would become the Chase Manhattan Company dates back to 1799. J. P. Morgan established J.P. Morgan & Co. in 1871 when he opened the House of Morgan on 23 Wall Street as a provider of commercial, investment, and private banking services on a national scale. In 2000, the two forerunner companies united to create a diversified holding organization, giving rise to the current business. Through corporate advising, mergers and acquisitions, sales and trading, and public offerings, it is a significant source of investment banking services in the Bulge Bracket. In terms of overall assets, their private banking business and asset management division rank among the biggest in the world.
What is a Financial Advisor?
A financial advisor is your financial planning expert. A licensed and knowledgeable professional can help you turn these aspirations into tangible realities. This is where the invaluable assistance of a financial advisor comes into play.
History
JPMorgan Chase was created as a result of the merger of many significant American banks, including Chase Manhattan Bank, J.P. Morgan & Co., and Bank One, as well as the asset assumption of Bear Stearns, Washington Mutual, and First Republic, which occurred since 1996. Older, more established banks including Chemical Bank, Manufacturers Hanover, First Chicago, National Bank of Detroit, Texas Commerce, Providian, and Great Western are some examples of predecessors. The Bank of the Manhattan Company, the oldest precursor institution of the company, was founded on September 1, 1799, by Aaron Burr. It was the third-oldest banking corporation in the United States and the 31st-oldest bank worldwide.
Roy Apple Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, litigation against Roy Apple
BrokerCheck report of Roy Apple includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosure events.
As per the report, the 4 Customer Dispute disclosure has been reported against Roy Apple.
Such a disclosure event entails-
This type of disclosure event involves a consumer-initiated, investment-related complaint, arbitration proceeding or civil suit containing allegations of sale practice violations against the broker that resulted in a monetary settlement to the customer.
(1) the dismissal, withdrawal, or denial of a consumer-initiated, investment-related arbitration or civil lawsuit comprising claims of sales conduct violations against the specific broker, or
(2) a written complaint filed by a customer alleging that a broker violated sales practices that resulted in compensatory damages of at least $5,000 in fraud, theft, misappropriation, or conversion of funds or securities, which was dismissed, withdrawn, or closed without resolution.
FINRA’s BrokerCheck
Roy N Apple – Broker at J.P. MORGAN SECURITIES LLC (finra.org)
SEC Litigations & Forms
Source: Roy Apple – SEC Site Search Search Results
Roy Apple Lawsuits, Legal Battles, & DisputesActive database of all lawsuit documents (subject to availability) against Roy Apple
There might be more pending lawsuits against Roy Apple which are not listed on these directories. Lawsuit files are often deleted from online directories. So, if you cannot find any lawsuits against Roy Apple on these websites, you can contact the local authorities and check if they have a physical copy of any cases.
CourtListener
UniCourt
Law.com
Law360.com
Trellis.law
Justia
Roy Apple Complaints, Class Action Lawsuits & Legal BattlesRead all class action lawsuits and SEC complaints against Roy Apple (if available)
The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Roy Apple using the websites down below:
Sonn Law Group
SEC.gov
White Law Group
MDF Law
Israels & Neuman, PLC
Klayman Toskes
You can contact the law firms mentioned above if facing issues with Roy Apple or any financial advisor.
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