Last Updated: October 2023 (San Diego, CA)
Alexander Wallin Investigation Summary
Here’s what you need to know about San Diego, CA, stockbroker Alexander Wallin:
- Name: Mr. John Alexander Wallin
- Current Employer: SprinkleBrokerage
- Previous Firms: Equinox Securities
- Function: Stock Broker/ Financial Advisor
- Aliases: Alexander Wallin
- Primary Location: San Diego, CA
- CRD 6000899
- Can Alexander Wallin be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Alexander Wallin As Your Stockbroker?
In 4/2023 FINRA suspended Alexander Wallin in any principal capacity for five months (ended 10/14/23) and fined him $10,000 for failure to develop and implement a reasonable anti-money laundering (AML) program.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Alexander Wallin, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
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.