RedFlag, Allegation and/or Complaint against CHARLES EDWARD CAPPEL
Disclosure #1 for CHARLES CAPPEL
- Event Date: 11/1/1971
- Disclosure Type: Criminal
- Resolution: Final Disposition
- Criminal Charges :: Charges: MISDEMEANOR THEFT CHARGE
- Disposition: Pled guilty
- Broker Comment: THE INCIDENT THAT OCCURRED IN RED WILLOW COUNTY NEBRASKA IN 1971 WAS WHEN I WAS A JUNIOR IN HIGH SCHOOL. I WAS WORKING AT A SERVICE STATION ALONG WITH ANOTHER INDIVIDUAL, WHO I CONSIDERED A FRIEND. WHILE I WAS WORKING, HE STOLE MONEY FROM THE BUSINESS. SINCE THE THEFT OCCURRED ON MY SHIFT, I WAS RESPONSIBLE, & WE WERE BOTH CONVICTED OF A MISDEMEANOR & PAID A FINE PLUS RESTITUTION.
Should I file a FINRA complaint against brokers like CHARLES EDWARD CAPPEL?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by CHARLES EDWARD CAPPEL’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
BrokerAudit.com helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.
Frequently Asked Questions About CHARLES EDWARD CAPPEL
What is CHARLES CAPPEL’s Central Registration Depository (CRD) Number?
Which firm is CHARLES EDWARD CAPPEL associated with?
THRIVENT INVESTMENT MANAGEMENT INC.
Where is CHARLES CAPPEL located?
423 EAST AVE, HOLDREGE, NE, 68949
Where can I find more details about CHARLES CAPPEL’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/18387 to read a detailed report for THRIVENT INVESTMENT MANAGEMENT INC.
Are there any disclosures, allegations or complaints filed against CHARLES EDWARD CAPPEL?
Where can I download a detailed FINRA report for CHARLES CAPPEL?
Is it safe to do business with CHARLES EDWARD CAPPEL?
We’re not sure. Please research CHARLES CAPPEL’s disclosures, allegations and complaints before taking a decision
Originally reported on November 17, 2022 @ 8:34 pm
The views and opinions expressed in these articles are those of the source BROKERAUDIT.COM and do not necessarily reflect the official position of ‘Consumer Fraud Report,’ which shall not be held liable for any inaccuracies presented. The information provided within this article is for general informational purposes only. While we try to keep the information up-to-date and correct, there are no representations or warranties, express or implied, about the completeness, accuracy, reliability, suitability or availability of the information in this article for any purpose.
This article is syndicated automatically through a third-party agency from BROKERAUDIT.COM.
To view the original article at BROKERAUDIT.COM, you can visit https://www.brokeraudit.com/charles-edward-cappel-thrivent-investment-management-inc/.