Gary Arthur Forrest of Flint Michigan a stockbroker formerly registered with American Portfolios Financial Services is referenced in a customer initiated investment related arbitration claim where the customer sought $300,000.00 in damages supported by accusations of negligence and the breach of fiduciary duty by the stockbroker with respect to his sales of real estate securities […]
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Tag Archives: American Portfolios Financial Services Inc.
Investors Bring FINRA Arbitration Claims A For Breach Of Fiduciary Duty
October 08, 2020 | Posted by : Guiliano Law Group | Breach of Fiduciary Duty, Non-traded REITs, Securities Arbitration Claims | Comments Off on Investors Bring FINRA Arbitration Claims A For Breach Of Fiduciary Duty
SEC Charges American Portfolio Broker With Stealing $1.2 Million
July 29, 2020 | Posted by : Guiliano Law Group | Misappropriation of Funds, Stockbroker Theft | Comments Off on SEC Charges American Portfolio Broker With Stealing $1.2 Million
Mark L. Hopkins of Grand Blanc Michigan, a stockbroker formerly registered with American Portfolio Financial Services was charged by the United States Securities and Exchange Commission with the theft of $1.2 million from five of his customer accounts. United States Securities and Exchange Commission v. Mark L. Hopkins (E.D. Michigan). According to the Complaint, bginning […]
Read More »American Portfolios Fires Stockbroker For Altering Documents
June 23, 2020 | Posted by : Guiliano Law Group | Forgery | Comments Off on American Portfolios Fires Stockbroker For Altering Documents
Joffre Salazar (also known as Jeff Salazar) a stockbroker formerly employed by American Portfolios Financial Services Inc. has been discharged from employment on September 27, 2019 founded on accusations of customer documentation being impermissibly altered by Salazar. Salazar has been identified in two customer initiated investment related disputes pertaining to allegations of his misconduct. Financial […]
Read More »LPL Financial Stockbroker Discharged For Selling Away
June 12, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
Donald Joseph Savino Jr. of Rochester New York a stockbroker registered with LPL Financial LLC has been discharged by the firm on March 30, 2017 supported by accusations that Savino engaged in private securities transactions in violation of the firm’s policy. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that a customer filed an investment […]
Read More »Wells Fargo Discharges Stockbroker For Micsonduct
May 29, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unsuitable Investment Recommendations | 0 Comments
Daniel Lawrence Polansky of Albany New York a stockbroker employed by Wells Fargo Clearing Services has been discharged by the firm on February 27, 2018 based upon allegations that Polansky executed approximately the same investment strategy for customers with various financial circumstances while effecting transactions in customers’ accounts that reflected the same investments that Polansky […]
Read More »American Portfolios Broker Caught Selling Woodbridge Ordered To Cease
April 08, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Unregistered Securities | 0 Comments
Gary Arthur Forrest of Flint Michigan is a stockbroker formerly registered with American Portfolios Financial Services Inc. who is the subject of a Notice and Order to Cease and Desist issued by the State of Michigan Department of Licensing and Regulatory Affairs Corporations Licensing and Securities Bureau supported by accusations that Forrest offered or effected […]
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