Tag Archives: Howard Joseph Allen III

Portfolio Advisors Stockbroker Liable For Securities Fraud

November 24, 2019  |   Posted by :   |   Investment and Regulatory News, Securities Fraud   |   0 Comments

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 […]

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SEC Charges Portfolio Advisors Owner With Fraud

January 26, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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