Notably, FINRA provides important information in regard to securities broker Stefan Anton Pastor (CRD#: 5141819, Fort Lauderdale, Florida). It appears that the disclosures involving Pastor concern his employment at securities firms Raymond James Financial Services. Let’s take a closer look at the allegations of misrepresentation and unauthorized trading as reported on BrokerCheck. However, be mindful that the securities broker denies committing any unreasonable sales practices.
Evidently, FINRA barred Stefan Pastor as a securities broker effective September 4, 2019. The regulator typically bars a securities broker who fails to comply during an investigation. Here, the regulator states that Pastor gave false testimony, violating Rule 8210.
Also, it appears that a Raymond James Financial Services client took issue with Stefan Pastor’s actions, per an investment dispute on January 17, 2019. Supposedly, Pastor caused the client to incur damages relating to the client’s investments in mutual funds. Mainly, the client makes allegations of misrepresentation (of the investment itself) and an unauthorized transaction (insurance premium payment). It appears that the client received $18,000 in damages from the securities firm in settlement of the investment dispute on September 17, 2020.
Particularly, a Raymond James Financial Services client took aim at Stefan Pastor’s sales practices as a securities broker, as the client filed an investment dispute on March 21, 2018. Specifically, the investor alleges sales practice violations, including unauthorized trading and forgery. Supposedly, the client experienced damages stemming from Pastor’s improper sales practices concerning structured products. It seems that the client accepted $60,000 in damages from the securities firm, according to a settlement between the firm and the client on May 3, 2018.
Evidently, the firm terminated Stefan Pastor as a securities broker on April 3, 2018. Apparently, the securities broker is involved in a client dispute alleging unauthorized trading, misrepresentations relating to positions sold in the account, and false sale confirmations from Pastor.
Did you realize losses because of securities broker Stefan Pastor? You can contact Soreide Law Group at (888) 760-6552 to speak with a helpful securities attorney about possibly recovering your losses. Soreide Law Group represents investor clients on a contingency fee basis and advances all costs. The firm has recovered considerable compensation for a lot of investors who have incurred damages from securities brokers and financial advisors. Please note that Pastor denies all accusations of inappropriate sales practices.
Investors potentially experienced sales practice violations by securities broker LI Kelly (also known as LI Ding) [CRD: 6115397, Brooklyn, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kelly worked for LPL Enterprise LLC from February 18, 2025, to November 12, 2025, HSBC Securities (USA) Inc. from October 10, […]
Investors have reportedly disputed the sales practices of securities broker Dominic I. Myers [CRD: 5107939, San Diego, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Myers worked for Cetera Wealth Services LLC from May 17, 2022, to the present, Cetera Investment Advisers LLC from June 29, 2023, to the […]
Investors might have sustained losses due to securities broker Michael Vernon Biggs (also known as Mike Biggs) [CRD: 1697481, Clarksville, Tennessee], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Biggs worked for Equitable Advisors LLC since January 18, 2008. Investors are encouraged to continue reading to find out more about the […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com