American Portfolio Financial Services

  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Nabil Bouab formerly with Amercan Portfolios Financial Services
Rex Securities Law Investment Fraud Attorney Investigates Nabil Bouab formerly with Amercan Portfolios Financial Services 150 150 Robert Rex, Esq.

Last Updated: April 2024 (Red Bank, NJ) Nabil Bouab Investigation Summary Here’s what you need to know about Red Bank, NJ, stockbroker Nabil Bouab: Name: Mr. Nabil Bouab Current Employer:…

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  • Robert Rex, Esq.

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth
Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth 150 150 Robert Rex, Esq.

“Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the largest networks of independent broker dealers with more that 11,000…

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Robert Halldin- Former American Portfolios Financial Broker- Permanently Barred from FINRA- Newington, CT
Robert Halldin- Former American Portfolios Financial Broker- Permanently Barred from FINRA- Newington, CT 150 150 ER

Robert Halldin Investigation April  2022 – Newington, CT According to publicly obtained records, Robert Halldin stockbroker who was last employed by American Portfolio Financial Services,  Inc.,  discloses a prior regulatory matter,…

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  • Robert Rex, Esq.

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY
Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY 150 150 Robert Rex, Esq.

December  2020- Holbrook, NY According to publicly available records  Jeffrey Alan Blutstein (CRD#1398688), a  former stockbroker who last worked for American Portfolios Financial Services,  discloses a regulatory event and a…

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  • Robert Rex, Esq.

Mark Hopkins- Former American Portfolios Financial Broker-Barred from Securities Industry- Discloses Regulatory Events & Customer Disputes -Grand Blanc, MI
Mark Hopkins- Former American Portfolios Financial Broker-Barred from Securities Industry- Discloses Regulatory Events & Customer Disputes -Grand Blanc, MI 150 150 Robert Rex, Esq.

November 2020- Grand Blanc, MI According to publicly available records, former American Portfolios Financial Services, Inc. (APFS) ,  financial advisor Mark Lewton Hopkins,  has been barred from the securities industry by…

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  • Robert Rex, Esq.

Dean Grossnickle-Former Gradient Securities Broker-Discloses Settlement of Customer Dispute – Arden Hills, MN
Dean Grossnickle-Former Gradient Securities Broker-Discloses Settlement of Customer Dispute – Arden Hills, MN 150 150 Robert Rex, Esq.

September 2018- Arden Hills, MN The FINRA records of  Dean Grossnickle,  a  stockbroker who formerly was  employed by Gradient Securities disclose the settlement of a  customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

Cullen Kempson-Former Commonwealth Financial Network Broker-Discloses Regulatory Event & Discharge From Employment-Sparta, NJ
Cullen Kempson-Former Commonwealth Financial Network Broker-Discloses Regulatory Event & Discharge From Employment-Sparta, NJ 150 150 Robert Rex, Esq.

May 2017- Sparta, NJ According to publicly available records V. Cullen Kempson III (CRD#1280887) ,  a  stockbroker currently registered with American Portfolios Financial Services, Inc discloses a prior regulatory event and a termination from employment. The…

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  • Robert Rex, Esq.

Unsuitable Mutual Fund Switching Leads to Fine/Suspension for Stuart, FL, Stock Broker
Unsuitable Mutual Fund Switching Leads to Fine/Suspension for Stuart, FL, Stock Broker 150 150 Robert Rex, Esq.

January 6, 2016- Stuart, Florida Jeffrey Davidson entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American Portfolio…

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  • Robert Rex, Esq.

John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA
John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA 150 150 Robert Rex, Esq.

December 30, 2015- Stuart, Florida John D. Wiswell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American…

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