Howard Joseph Allen III of New York New York a former stockbroker and executive of Portfolio Advisors Alliance LLC is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $37,761.00 in damages based on accusations of negligence, breach of fiduciary duty and breach of contract as it pertained to…
Howard Joseph Allen III of New York New York a stockbroker currently registered with Portfolio Advisors Alliance LLC is the subject of a Securities and Exchange Commission (SEC) Order Instituting Administrative Proceedings Pursuant to Securities Exchange Act of 1934 Section 15(b) regarding sanctions SEC may impose based upon Allen committing securities fraud. In the Matter…
Howard Joseph Allen III of New York, New York, owner of Portfolio Advisors Alliance, LLC, has been charged by Securities and Exchange Commission (SEC) in a Complaint alleging that Allen, inter alia, made fraudulent misrepresentations to investors. Securities and Exchange Commission v. Howard J. Allen III, Civil Action No. 16-cv-00828 (S.D.N.Y. Feb. 3, 2016). According…