The Florida-based Soreide Law Group obtained the following information from FINRA’s website on the following Florida broker/financial advisor under, “Disciplinary and Other FINRA Actions,” November, 2021:
Athanasios Tomaras (CRD #2722538, Oldsmar, Florida)
On September 7, 2021 an Acceptance, Waiver and Consent (AWC) was issued in which Athanasios Tomaras was fined $5,000 and suspended from association with any FINRA member in all capacities for 45 days.
Without admitting or denying FINRA’s findings, Athanasios Tomaras consented to the sanctions and to the entry of findings that he allegedly engaged in an outside business activity (OBA) without disclosing or providing prior written notice to his member firm.
FINRA’s findings alleged that Athanasios Tomaras falsely stated on multiple compliance questionnaires that he did not engage in any undisclosed OBAs while acting as the sole owner of a commercial and residential landscaping company. Tomaras did not disclose his OBAs to the firm until after it was discovered by FINRA and brought to the firm’s attention.
The suspension was in effect from October 4, 2021, through November 17, 2021. (FINRA Case #2020066205401)
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Athanasios Tomaras has been in the securities industry for 25 years and has been listed with 8 firms. Tomaras has 8 disclosures on his FINRA CRD report, 5 are “Customer Disputes.”
Athanasios Tomaras has been listed with the following firm as a broker since 10/16/2015, and as a financial advisor since 3/1/2016:
R.F. LAFFERTY & CO., INC.
3980 Tampa Road Suite 202
Oldsmar, FL 34677
If you’ve suffered investment losses due to the actions or recommendations of the R. F. LAFFERTY & CO., INC. of Oldsmar, Florida, broker/financial advisor, Athanasios Tomaras, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee basis, no fee to you if no recovery, and represents clients nationwide before FINRA.
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