Advisor Alert: Our Attorneys Are Investigating Robert James Halldin For Investment Fraud
Did You Lose Money Because of Bob Halldin?
Filed: January 16, 2024
Bob Halldin currently has one (1) pending financial event and two (2) pending judgment/lien events. Overall, he has been the subject of one (1) regulatory event, three (3) customer complaints, five (5) financial events, and two (2) judgment/lien events. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Robert James Halldin.
Who Is Robert James Halldin?
- Advisor Name: Robert James Halldin
- Aliases: Bob Halldin
- CRD: 1458098
- Location: Newington, Connecticut
- Current Employer: No Longer Allowed to Practice in the Securities Industry
- Previous Firms: American Portfolios Financial Services, Inc., Pacific West Securities, Inc., and Banc of America Investment Services, Inc.
- Number of Known Customer Complaints: 3
- Number of Known Regulatory Events: 1
- Number of Known Financial Events: 5
- Number of Known Judgment/Lien Events: 2
- Can Robert Halldin Be Sued: Yes, in Private Arbitration
- Can Robert Halldin’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $2,200,000
- Highest Settlement: $400,000
If you have suffered investment losses by Robert Halldin, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Bob Halldin For Broker Misconduct
As of this publication date, Robert Halldin has been the subject of 1 regulatory event, 3 customer disputes, 5 financial events, and 2 judgment/lien events. Let’s review them below.
In December 2020, FINRA initiated a regulatory action against or in reference to Robert Halldin for refusing to appear for on-the-record testimony requested by FINRA as a part of an investigation that originated from its review of a series of Form U5 amendments filed by his former member firm. The findings stated that the Form U5s disclosed complaints and arbitrations filed against Halldin alleging that he traded securities in individuals’ brokerage accounts held away from the firm.
In August 2020, Robert Halldin filed for bankruptcy in the United States Bankruptcy Court Southern District of Florida.
In August 2020, Robert Halldin was the subject of a civil judgment or lien in the amount of $67,275.71. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In April 2019, a FINRA arbitration was filed against or in reference to Robert Halldin by a customer of American Portfolios Financial Services, Inc. alleging breach of fiduciary duty, violation of Florida Securities Investor Protection Act, negligence, and failure to supervise. Per the customer, he/she lost over $2,200,000 because of Mr. Halldin’s actions.
In January 2018, a FINRA arbitration was filed against or in reference to Robert Halldin by a customer of American Portfolios Financial Services, Inc. alleging that Mr. Halldin made unsuitable investments in accounts held away from the firm. Per the customer, he/she lost over $106,739 because of Mr. Halldin’s actions. On April 23, 2019, Mr. Halldin settled the claim for $47,500, and some or all of this amount may have been paid by Mr. Halldin’s employer and/or insurance carrier.
In October 2017, Robert Halldin filed for bankruptcy in the United States Bankruptcy Court.
In February 2017, Robert Halldin filed for bankruptcy in the United States Bankruptcy Court.
In May 2016, a FINRA arbitration was filed against or in reference to Robert Halldin by a customer of American Portfolios Financial Services, Inc. alleging churning, unsuitable investments , unauthorized trading, and overconcentration. Per the customer, he/she lost over $751,414 because of Mr. Halldin’s actions. On December 10, 2016, Mr. Halldin settled the claim for $400,000, and some or all of this amount may have been paid by Mr. Halldin’s employer and/or insurance carrier.
In September 2015, Robert Halldin filed for bankruptcy in the United States Bankruptcy Court Southern District of Florida.
In March 2014, Robert Halldin filed for bankruptcy in the United States Bankruptcy Court Southern District of Florida.
In January 2014, Robert Halldin was the subject of a civil judgment or lien in the amount of $195,903.34. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
How To File A Claim Against Bob Halldin (previously with American Portfolios Financial Services, Inc., Pacific West Securities, Inc., and Banc of America Investment Services, Inc.) To Get Your Money Back
If you have questions about Bob Halldin, American Portfolios Financial Services, Inc., Pacific West Securities, Inc., Banc of America Investment Services, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll free at 1-800-950-6553.