fbpx

American Portfolio Financial Services

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,…

read more

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY 150 150 Rex Securities Law

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…

read more

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 150 150 Rex Securities Law

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…

read more

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 Rex Securities Law

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…

read more

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 Rex Securities Law

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…

read more

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 Rex Securities Law

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…

read more

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 Rex Securities Law

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…

read more

StockBroker Sanctioned for Mutual Fund Churning

StockBroker Sanctioned for Mutual Fund Churning 150 150 Rex Securities Law

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…

read more

Aron M Coit Barred by FINRA

Aron M Coit Barred by FINRA 150 150 Rex Securities Law

In August 2014 FINRA announced that broker Aron Michael Coit was barred from association with any FINRA member in any capacity to resolve allegations that he willfully failed to disclose civil judgments…

read more