Skip to content
Securities Law Attorney
  • Home
  • Website
  • About Us
  • Process
  • Recent Cases
  • Articles
    • Broker Complaints
    • Class Action
    • customer complaints
    • Regulatory Sanction
    • Selling Away
    • Supervisory Failures
    • Suspended Brokers
    • Terminated Brokers
    • Unauthorized Trades
Securities Law Attorney

FREE CASE EVALUATION

(877) 238-4175

  • Home
  • Website
  • About Us
  • Process
  • Recent Cases
  • Articles
    • Broker Complaints
    • Class Action
    • customer complaints
    • Regulatory Sanction
    • Selling Away
    • Supervisory Failures
    • Suspended Brokers
    • Terminated Brokers
    • Unauthorized Trades

Securities Fraud

Steven Pagartanis Sanctioned and Barred by FINRA, Named in Pending SEC Fraud Charges

By Fitapelli Kurta | June 8, 2018

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 7, 2018 indicate that former New York-based Lombard Securities broker Steven Pagartanis has been sanctioned by FINRA and barred from acting as a broker, and has also been named in pending SEC fraud charges. Fitapelli Kurta is interested in speaking to…

Read More

Search

Recent Entries

  • David Park of Cambridge Investment is Facing Allegations Following Risky Alternative Investments
  • Christopher Carolan Involved in Allegations of Unauthorized Trading
  • Aaron Turner: Investor Alleged Unsuitable Energy Security Recommendation

Topics

  • Awards (5)
  • Barred (2)
  • breached fiduciary duty (22)
  • Churning (10)
  • customer complaints (144)
  • Failed to Supervise (4)
  • FINRA Complaint (7)
  • FINRA Fine (1)
  • FINRA Investigation (8)
  • Fraud (11)
  • over-concentrated (3)
  • permitted to resign (3)
  • Puerto Rican Bonds (4)
  • Sanction (59)
  • SEC Complaint (2)
  • Securities Fraud (1)
  • Suitability (69)
  • Suspended (4)
  • tax liens (6)
  • Terminated (62)
  • Unauthorized Trades (14)
  • Uncategorized (8)
  • Variable Annuity (7)
28 Liberty St 30th Floor, New York, NY 10005
Toll Free: (877) 238-4175
Local: (212) 658-1500

Securities Fraud Lawyer | New York Securities Attorney | Fitapelli | Kurta
Copyright © 2020, Fitapelli | Kurta
Facebook Twitter Linkedin