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, two customer disputes, a bankruptcy and a lien.
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.
In 12/2020 FINRA case #2017056119601 Halldin consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA as a part of an investigation that originated from its review of a series of Form U5 amendments filed by his former member firm. The findings stated that the Form U5 disclosed complaints and arbitrations filed against Halldin alleging that he traded securities in individuals’ brokerage accounts held away from the firm. Sanctions were that Halldin was permanently barred from FINRA in all capacities.
In October 2017, FINRA case #17-02888 was filed alleging that Halldin made unsuitable investments in accounts held away from the firm. The case settled for $47,500.
In April of 2016, FINRA case #16-01146 alleged churning, unsuitable investments, unauthorized trading, and over concentration. The case settled in the amount of $400,000.
In August of 2020 Halldin filed bankruptcy in the Southern District of Florida.
Halldin was employed by American Portfolios Financial Services from 2/2012-7/2017.
If you have losses in an investment account handled by Robert Halldin contact us for a no charge consultation with an experienced securities attorney to learn about your legal options.
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.
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