American Portfolios Financial Services complaint

  • ER

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.

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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  • Robert Rex, Esq.

StockBroker Sanctioned for Mutual Fund Churning
StockBroker Sanctioned for Mutual Fund Churning 150 150 Robert Rex, Esq.

August 4,2015 Ronald J. Benevento of Holbrook, NY,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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