Robert Halldin, formerly with American Portfolios Financial Services, Barred by FINRA
Have you lost money with financial advisor Robert Halldin? We are looking into allegations made about Robert J. Halldin from Newington, Connecticut. FINRA (the Financial Industry Regulatory Authority) barred Robert Halldin from the securities industry. FINRA alleged that Robert Halldin failed to respond to its investigation. Halldin was being investigated for allegations that he traded in brokerage accounts that were not approved by his former brokerage firm, American Portfolios Financial Services.
Robert Halldin was a financial advisor and registered representative of American Portfolios Financial Services from February 2012 to July 2017. He worked in a branch office in Newington, Connecticut. He was also been the subject of at least three customer complaints.
Brokerage firms like American Portfolios Financial Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Phoenix, Arizona; Seattle, Washington; Denver, Colorado; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including throughout Connecticut. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against American Portfolios Financial Services.