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

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 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.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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