Robert James Halldin, a.k.a. Bob Halldin, Allegedly Engaged in Breach of Fiduciary Duty, Negligence, & Failure to Supervise; Client Requesting $2.2 Million

Robert James Halldin, a.k.a. Bob Halldin, allegedly engaged in breach of fiduciary duty, negligence, and failure to supervise, according to a Pending Customer Dispute under review by investor rights attorney Alan Rosca.

The aforementioned dispute was filed on April 5, 2019, FINRA states, and damages of $2,200,000 have been requested.

Halldin also reportedly settled a case wherein a customer alleged that, from on or about September 5, 2014 until on or about September 2017, Halldin allegedly made unsuitable investments in accounts held away from the firm, FINRA notes.

The aforementioned dispute was filed on January 15, 2018, FINRA states, and was settled for $47,500 after damages of $106,739 had been requested.

Bob Halldin also engaged in alleged acts of churning, unsuitable investments, unauthorized trading, and overconcentration, FINRA notes. The aforementioned dispute was filed on May 16, 2016, FINRA states, and was settled for $400,000 after damages of $751,414.00 had been requested.

Investor rights attorney Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Robert James Halldin’s alleged breach of fiduciary duty, negligence, and failure to supervise. Investors who believe they may have lost money in activity related to Robert James Halldin’s alleged breach of fiduciary duty, negligence, and failure to supervise are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

Robert James Halldin, Between 2010 and 2017, Reportedly Filed 5 times for Bankruptcy; Halldin Has 10 Disclosures on His Record during His 31 Years in the Securities Industry

Robert James Halldin, between 2010 and 2017, reportedly filed 5 times for bankruptcy, according to his FINRA BrokerCheck Report.

Robert James Halldin was involved in a Bankruptcy proceeding in the U.S. Bankruptcy Court, Florida Southern, Ft. Lauderdale, according to a Final Financial Statement filed on October 30, 2017 on Halldin’a FINRA BrokerCheck Report.

The Court, on August 20, 2018, ordered as follows:

  • Confirmation of the proposed chapter 13 plan is denied.
  • This case is dismissed with prejudice as to the filing of any bankruptcy case in any federal bankruptcy court in the United States of America by the above-named debtor for 180 days from entry of this order, or the expiration of any prejudice period set in any previous order, whichever is later.

Robert James Halldin also had another bankruptcy filing on his FINRA BrokerCheck Report. Said Financial Final report was filed on February 13, 2017, and was ultimately dismissed, FINRA states.

Halldin has yet another bankruptcy report on his FINRA BrokerCheck Report. The aforementioned report was filed on September 15, 2015, and was also dismissed, FINRA states.

Robert James Halldin has 10 disclosures in his 31 years in the Securities Industry, and has been registered with 13 different entities, including the following firms:

  • American Portfolios Financial Services, Inc., Newington, CT— February 28, 2012 to July 6, 2017
  • Pacific West Securities, Inc., Windsor, CT— July 31, 2009 to February 15, 2012
  • Banc of America Investment Services, Inc., West Hartford, CT— November 10, 2005 to August 3, 2009
  • Bancnorth Investment Group, Inc., Saint Cloud, MN— January 1, 2005 to November 11, 2005
  • Primevest Financial Services, Inc., Saint Cloud, MN— March 4, 2003 to January 1, 2005
  • National Planning Corporation, Los Angeles, CA— August 23, 2000 to March 6, 2003
  • Webster Investment Services, Inc., Kensington, CT— June 26, 2000 to August 28, 2000
  • Mechanics Investment Services, Inc., Hartford, CT— June 30, 1997 to June 23, 2000

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.

Securities Lawyer Investigating

The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Robert James Halldin’s alleged breach of fiduciary duty, negligence, and failure to supervise. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of Robert James Halldin’s alleged breach of fiduciary duty, negligence, and failure to supervise may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at rosca@lawgsp.com, or through the contact form on this webpage.

filed under: Investigations

Tags: , , ,

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent updates regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases. Also, the brokercheck report linked to some of our blogs is the up-to-date version as of the date of posting. Visitors may check the most recent version of each brokercheck report at www.finra.org.