Tag Archives: Mark Lewton Hopkins

SEC Charges American Portfolios Stockbroker With Fraud

March 18, 2021  |   Posted by :   |   Elder Financial Abuse, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft   |   Comments Off on SEC Charges American Portfolios Stockbroker With Fraud

Mark Lewton Hopkins of Grand Blanc Michigan a stockbroker formerly registered with American Portfolios Financial Services has been charged by Securities and Exchange Commission (SEC) with misappropriating $1,150,000.00 from customers who held accounts at American Portfolios Financial Services. SEC v. Mark L. Hopkins Case No. 20-cv-11980 (July 24, 2020). According to the Complaint, in 2017, […]

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American Portfolios Stockbroker Charged With Fraud In Connection With Misappopriation of Customer Funds

Mark Lewton Hopkins of Grand Blanc Michigan a stockbroker formerly registered with American Portfolios Financial Services Inc. is the subject of an enforcement action initiated by Michigan Corporations Securities and Commercial Licensing Bureau in which the regulator is seeking sanctions against Hopkins based upon allegations that he violated Michigan Securities Act by omitting to a […]

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FINRA Bars American Portfolios Stockbroker In Investigation

Mark Lewton Hopkins of Grand Blanc Michigan a stockbroker formerly registered with American Portfolios Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Hopkins failed to comply with a FINRA investigation into allegations of (1) Hopkins taking possession of […]

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