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George Apollo Embroiled in Dispute for Over $815,000

George Apollo (CRD #: 3101928), a broker registered with Spartan Capital Securities, is involved in an investor dispute. This is according to his BrokerCheck record, accessed on April 19, 2022.

On December 10, 2021, an investor alleged that George Apollo executed excessive trades and recommended unsuitable investments. The investor also alleged misrepresentation and unauthorized trading. The investor is seeking $815,130.29; the dispute is pending.

George Apollo allegedly violated the following FINRA rules by his actions:

  • FINRA Rule 2111 requires brokers to only recommend investments that fit their needs. The number of transactions, as well as the type of transactions, must be suitable.
  • FINRA Rule 2020 prohibits investors from misrepresenting investments. Brokers must provide realistic projections for future growth and possible fees.
  • Unauthorized trading violates FINRA Rule 3260, which requires brokers to have written authorization before exercising discretion in an investor’s account.

Tax Liens

From 2015 to 2018, George Apollo was the subject of four tax liens which total $75,002.41.

Background Information

George Apollo has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

He is a registered broker in 19 states.

George Apollo has worked with the following firms:

  • Southeast Investments (CRD #: 43035)
  • Caldwell International Securities (CRD #: 104323)
  • Hunter Scott Financial (CRD #: 45559)
  • P. Turner & Company (CRD #: 43177)
  • Donald & Co. Securities (CRD #: 7776)
  • Joseph Stevens & Company (CRD #: 35459)

Kurta Law Can Help

If you worked with George Apollo and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.