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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Tag Archives: Mark Lewton Hopkins
American Portfolios Stockbroker Charged With Fraud In Connection With Misappopriation of Customer Funds
February 16, 2020 | Posted by : Guiliano Law Group | Investment and Regulatory News, Promissory Notes, Securities Arbitration Claims, Securities Fraud, Selling Away and Outside Activities | 0 Comments
FINRA Bars American Portfolios Stockbroker In Investigation
May 23, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Selling Away and Outside Activities, Stockbroker Theft | 0 Comments
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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