October 2020- Hollywood, FL
According to publicly available records. Stefan Anton Pastor, (CRD#5141819), a former stockbroker who last worked for Raymond James Financial Services, Inc., discloses a regulatory event, 2 final customer disputes and 2 terminations from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In September 2019 Pastor was permanently barred from the securities industry after an investigation regarding unauthorized trades he executed in the account of one of his member firm’s customers and false trade confirmations that he provided to the customer. Pastor consented to the sanction and to the entry of findings that he provided false information to FINRA.
In March 2018 a customer of Raymond James Financial Services, Inc. alleged forgery in connection with unauthorized trades in her account. The case settled for $60,000.
Pastor was duly registered with Provenance Wealth Advisors and with Raymond James Financial Services, Inc from August of 2013 until he was terminated from employment in April of 2018 by both companies after a client alleged unauthorized purchases in her account and that Pastor provided sale confirms that were determined to not be authentic.
Pastor was he has been employed with Cathy Pareto and Associates from June 2018 until November 2018 and with BlueKey Personal Wealth Planning from November 2018 until he was barred from FINRA in September 2019.
If you had an account with Stefan Pastor that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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