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 Portfolio Financial Services in Jensen Beach, FL, he failed to supervise the activities of a registered representative to prevent unsuitable mutual fund switching.
AWC No. 20130394827-01
Wiswell was fined $5,000 and suspended from association with any FINRA member in any principal capacity for 15 days.
According to FINRA records Wisell has been registered with American Portfolios Financial Services since 9/2007.
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