Broker-Dealer

1 article tagged with "Broker-Dealer"

Two police officers interacting at a crime scene, focusing on communication and law enforcement duties.

David B. Lobel's $600K Securities Fraud in AppleTree Offering

David B. Lobel, former officer of The AppleTree Companies, faced SEC action for material misrepresentations in 1992 securities offering, resulting in $600K penalty.

By Victoria Chase March 26, 2026