DID VINCENT MALLON CAUSE YOU INVESTMENT LOSSES?
Vincent Mallon Formerly With American Portfolios Financial Services, Inc. was terminated on August 2, 2024 and sanctioned for incorrectly certifying to the State of New York that he had completed continuing education to renew his state license when, in fact, another person completed the training for him.
Who is Vincent Mallon formerly with American Portfolios Financial Services, Inc.?
Vincent Mallon (CRD #5039515) who was formerly registered as a broker with American Portfolios Financial Services, Inc. and located in Holbrook, New York, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Vincent Mallon Employment History
Vincent Mallon has worked for several securities firms throughout his career. His most recent registration was with American Portfolios Financial Services, Inc. in Holbrook, New York, from January 2019 to August 2024. Previously, he was registered with Equity Services, Inc. in Hauppauge, New York, from January 2016 to December 2018, and with J.P. Morgan Securities LLC in Bethpage, New York, from October 2012 to July 2015. Mallon has passed three general industry/product exams, including the Securities Industry Essentials Examination (SIE) in October 2018, the General Securities Representative Examination (Series 7) in August 2009, and the Investment Company Products/Variable Contracts Representative Examination (Series 6) in November 2005. He also passed two multi-state securities law exams: the Uniform Investment Adviser Law Examination (Series 65) in December 2009 and the Uniform Securities Agent State Law Examination (Series 63) in December 2005. He has not passed any principal or supervisory exams.
Mallon is no longer registered with any firm. His record includes two disclosure events: a regulatory event and a termination. In August 2024, he consented to sanctions imposed by FINRA for falsely certifying that he had completed 15 hours of continuing education required to renew his state insurance license when, in fact, another person had completed it on his behalf. The sanctions included a suspension for one month and a fine of $5,000. Following this, he was terminated by American Portfolios Financial Services, Inc. in August 2024 due to the FINRA action.
Vincent Mallon Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Vincent Mallon is a red flag which should put all current and former customers of Vincent Mallon at American Portfolios Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Vincent Mallon engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at American Portfolios Financial Services, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At American Portfolios Financial Services, Inc. Due To Vincent Mallon
If you have questions about American Portfolios Financial Services, Inc. and/or Vincent Mallon and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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