American Portfolio Financial Services Archives

Rex Securities Law
August 14, 2023
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 14, 2023 August 16, 2023

“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…

ER
April 22, 2022
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 22, 2022 April 26, 2022

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,…

Rex Securities Law
December 2, 2020
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Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 2, 2020 December 2, 2020

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…

Rex Securities Law
November 3, 2020
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 3, 2020 November 3, 2020

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…

Rex Securities Law
September 24, 2018
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 24, 2018 September 24, 2018

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…

Rex Securities Law
June 9, 2017
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 9, 2017 June 9, 2017

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…

Rex Securities Law
January 19, 2016
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 19, 2016 February 2, 2018

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…

Rex Securities Law
January 19, 2016
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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 http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 19, 2016 February 4, 2018

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…

Rex Securities Law
August 12, 2015
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StockBroker Sanctioned for Mutual Fund Churning

StockBroker Sanctioned for Mutual Fund Churning http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 12, 2015 April 12, 2016

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…