Expert Review

Roy Apple: Undisclosed Information and Legal Proceedings (Update 2023)


Who is Roy Apple (CRD#: 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.


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 disclosures 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.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.
See also  Matthew Megorden: Is The Clients Sued Him? The Truth Exposed! (Update 2023)

FINRA’s BrokerCheck

Roy N Apple – Broker at J.P. MORGAN SECURITIES LLC (

SEC Litigations & Forms

Roy Apple

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.


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:

You can contact the law firms mentioned above if facing issues with Roy Apple or any financial advisor.


Better Alternatives to Roy Apple (By Experts):Find the top 3 alternatives to Roy Apple

These recommendations are based on the ratings of, the biggest financial advisor review platform on the internet.
You can check out the top 10 financial advisors in the U.S. to learn more.
Screenshot 2023 05 23 at 11.26.30 PM

Manages Assets Worth

  • $714,587,898,072


  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors
  • Publication of periodicals

Manages Assets Worth

  • $173,418,270,044


  • Financial planning
  • Portfolio management
  • Portfolio assessment

We will be happy to hear your thoughts

Leave a reply