Search Results for: Investors Rights and Alerts

American Portfolios Financial Services, Inc. (American Portfolios) submitted a letter of Acceptance, Waiver, and Consent (AWC) in which it was censured and fined $50,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise the unsuitable mutual fund switches by two of its registered representatives. According to FINRA, American Portfolios, based out of Holbrook […]