Last Updated: March 2026 — Boca Raton, FL
Here’s what you need to know about Boca Raton, FL stockbroker Shane Alexander Appelbaum:
- Name: Shane Alexander Appelbaum
- CRD Number: 4772668
- Current Employers:
- Herbert J. Sims & Co., Inc.
- Herbert J. Sims Capital Management, Inc.
- Stockbroker / Financial Advisor: Yes
- Can Broker be Sued in FINRA: Yes
- Current Customer Dispute Seeks Total Damages of: Between $1,000,000 and $3,000,000
If you’ve sustained damages from Mr. Appelbaum, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Shane Alexander Appelbaum As Your Stockbroker?
A customer of Herbert J. Sima alleges that Shane Alexander Appelbaum recommended unsuitable private placement investments. The FINRA arbitration seeks between $1 million and $3 million in damages.
Allegations of Broker Misconduct Against Shane Alexander Appelbaum
- Unsuitability — Recommending private placement investments that may not align with a client’s risk tolerance or financial objectives may violate FINRA Rule 2111 (Suitability) and SEC Regulation Best Interest.
Recover Your Investment Losses Now With Rex Securities Law
Investigations of Herbert J. Sims Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Shane Alexander Appelbaum, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
Firms We Have Pursued On Behalf of Our Clients
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.