Samuel Kent Van Allen of Westport Connecticut a stockbroker formerly registered with Westport Resources Investment Services Inc. has been terminated by the firm on March 23, 2017 during the time that Westport Resources Investment Services investigated Van Allen for utilizing confidential customer information in violation of the firm’s policies.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on April 7, 2009, a customer initiated investment related complaint regarding Van Allen’s activities was settled for $16,933.88 in damages founded on allegations that the customer was assessed unwarranted fees when the customer’s investment accounts had been liquidated; and Van Allen failed to abide by the customer’s instructions of removing the customer’s assets from the market.
Since March 24, 2017, Van Allen has been employed by Cambridge Investment Research Inc.
