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.
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