Category Archives: G.A. Repple & Company

FRANKLIN REYNOLDS -FORMER G.A. REPPLE BROKER- DISCLOSES SETTLEMENT OF CUSTOMER DISPUTE – DAYTONA BEACH, FL

April 2017- Daytona Beach, FL

The FINRA records of  Franklin Reynolds, (CRD #1366983) a  stockbroker who is currently registered with The Strategic Financial Alliance disclose a customer dispute that was settled.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In  FINRA case 14-03417  a customer of G. A. Repple & Co. alleged damages of $172,343 for, unsuitability, failure to conduct due diligence and failure to supervise in connection with an investment in a real estate security.   That case was settled $85,000.

Reynolds has been employed by The Strategic Financial Alliance since 1/2015. Reynolds was employed by G.A. Repple  5/1996 – 12/2014.     

If you have questions about an account handled by Franklin Reynolds, call to learn about your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX

April 2017-Waco, Texas

The FINRA records of  Steven P. Sappington ,  a  stockbroker who is currently registered with G.A. Repple disclose a  prior customer dispute, 3 pending financial events and 2 prior financial events.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In a prior customer dispute, FINRA case 11-02721 a customer of G. A. Repple & Co. alleged damages of $100,000 for negligence, unsuitability, breach of contract and fraud in connection with a recommendation to purchase Naples Fund LLC. That case was settled for $61,250.

Sappington discloses the following recent compromises with creditors:

  • DeGrasse & Rolnick- $37,920 debt renegotiated to $24,900.
  • CBNA-$56,767 debt renegotiated to $20,000
  • UCB Collections-$4,993 debt renegotiated to $1,848

Sappington has been employed by G.A. Repple since 1/2003.

If you have questions about an account handled by Steven P. Sappington, call to learn about your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

G A Repple Broker Frederick Bremer Settles “Church Bond” Case

March 28, 2016-Casselberry, Florida

According to FINRA records, financial advisor Frederick P. Bremer, who has been registered with  G.A. Repple & Co. since January 1998 , recently settled a complaint with a customer alleging that the church bonds recommended by Bremer were unsuitable.

In FINRA Case 15-01938– the customer purchased church bonds issued by the California Baptist Foundation in 2009. In 2010, the customer invested in the Church Capital Funding, a managed pool of church bonds. The bonds went into default and the customer brought the arbitration action alleging that the investments were unsuitable, seeking $170,000 in damages. The case was settled in March 2016 for $60,000.

If you have questions about an account with Frederick P. Bremer or G.A. Repple, call to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Mark S. Immel-Former G.A. Repple Broker-Discloses 19 Customer Complaints

UPDATE October 2016-FINRA records report that Mark S. Immel terminated his registration with G.A. Repple & Co. 5/2016 and as of October 25, 2016, he is not currently registered with any FINRA broker dealer.

Original post-March 28, 2016-Inverness, Florida

According to FINRA records, financial advisor Mark S. Immel, who has been registered with  G.A. Repple & Co. since May 2014, has 19 customer disputes reported , including these:

  • FINRA Case No 14-03734– alleges that while Immel was employed by Morgan Keegan & Company/ Raymond James & Associates, in connection with a mutual fund investment, he breached his fiduciary duty, was negligent and violated NASD rules. The customer sought damages of $55,000. The case was settled for $25,000.
  • FINRA Case 13-02442-alleges that while Immel was employed by Morgan Keegan & Company/ Raymond James & Associates, in connection with a real estate investment trust investment (REIT), he breached his fiduciary duty, made misrepresentations and omissions. Seeking damages of $140,635, the case was settled for $40,000.

If you have questions about an account with Mark S. Immel or G.A. Repple, call to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Thomas M. Hakim-G.A. Repple Broker-Discloses Numerous Outstanding Tax Liens-Macomb, MI

March 28, 2016-Macomb, Michigan

According to FINRA records, financial advisor Thomas M. Hakim , who has been registered with  G.A. Repple & Co. since March 2014, currently has 18 outstanding judgments and/or liens, including:

  • Internal Revenue Service                  $298,141
  • Internal Revenue Service                  $95,774
  • Internal Revenue Service                  $37,575
  • Internal Revenue Service                  $7,107
  • State of Michigan                                   $13,090
  •  State of Michigan                                  $83,559
  • State of Michigan                                   $11,641
  • State of Michigan                                   $15,873
  • State of Michigan                                   $80,255

Hakin was registered with Mid Atlantic Capital Corporation from 5/2004-8/2012.

If you have questions about an account with Thomas M. Hakim or G.A. Repple, call to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Richard S. Sadowski-G A Repple Broker- Discloses Customer Complaints -Hot Springs, Arkansas

March 28, 2016-Hot Springs, Arkansas

According to FINRA records, G.A. Repple broker Richard S. Sadowski has 13 customer disputes reported, including:

FINRA Case No 13-3205– A customer alleged that Sadowski, while employed by G.A. Repple & Co. made unsuitable recommendations and misrepresentations and sought damages of $270,000. The case was settled for $100,000.

May 14, 2013– A customer alleged that Sadowski, while employed by G.A. Repple & Co. failed to diversify accounts and made unsuitable recommendations. The case was settled for $87,000.

FINRA reports that Sadowski has been registered with G. A. Repple & Co. since 8/2005.

If you have questions about an account handled by Richard S. Sadowski or G.A. Repple, call to speak with an experienced securities attorney.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

G.A. Repple Broker Named in Customer Arbitration RE: Church Bond Losses- Casselberry, FLA

The Financial Industry Regulatory Authority (FINRA) reports that G.A. Repple & Company broker Frederick P. Bremer has been named in an arbitration filed by a client who is seeking damages of $170,000 in connection with an investment in church bonds issued by the California Baptist Foundation and the Church Capital Funding.

FINRA records report two other customer disputes involving Bremer. In one of those cases the customer, age 85 and living in a nursing home, sought damages related to the purchase of church bonds.

G.A. Repple & Company, a broker dealer headquartered in Casselberry, FL, has sold church bonds over the recent years. Their website describes their firm as “an investment, financial, tax and estate planning firm that gives objective counsel from a biblical perspective”

If you have losses on an account handled by Frederick Bremer or on church bonds purchased from G.A. Repple, contact us to learn how you may be able to recover damages through FINRA arbtration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870