Category Archives: Raymond James

Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Andrew Fairchild-Newbridge Securities Broker-Discloses 2 Regulatory Events & Termination-Boca Raton, FL.

October 2020- Boca Raton, FL 

According to publicly available recordsAndrew Joseph Fairchild, a broker with  Newbridge Securities Corporation,  discloses 2 regulatory Events, a customer dispute and a termination.

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 January 2020, Florida Office of Financial Regulation filed case #97544-S after findings that Fairchild, while employed by Investacorp,  failed to observe the high standards of commercial honor and just and equitable principles of trade.    Sanctions ordered were a cease and desist order and a fine of $10,000.

In December 2019 in  case #2018060848101 FINRA alleged that Fairchild impersonated customers of his member firm in multiple recorded telephone calls to a company requesting redemptions of funds from variable annuity products the customers had purchased.   The findings stated that Fairchild impersonated the customer to circumvent the company policy permitting only customers to request redemptions over the telephone.

In December 2018 Fairchild was permitted to resign from Investacorp after the findings that he placed phone calls to annuity company to request withdrawals for clients to be sent to their accounts.

Fairchild has been employed by Newbridge Securities Corporation  since October of 2019.   Before that he was with and Kovack Advisors, Investacorp and Investors Capital Corporation.

If you have losses in an account handled by Andrew Fairchild, call to learn how you may be able to recover damages through FINRA arbitration.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Bryce Jenney-Raymond James Broker-Permanently Barred from FINRA-Nashville, TN

October 2020-Nashville, TN

According to publicly available records, former Raymond James & Associates, Inc.,  financial advisor Bryce P. Jenney  has been barred from the securities industry by  FINRA .

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 5/2020,  in FINRA case 2018060216701, Jenney was  permanently barred from the securities industry to resolve allegations that he failed to provide information and documents requested by FINRA, and further failed to appear and provide testimony FINRA requested, on two occasions, in connection with its investigation regarding allegations that he engaged in private securities transactions.

Jenney was employed by Raymond James & Associated, Inc. from January of 2018 until October 2018.   Before that time,  he was with Morgan Stanley Smith Barney and Plante Moran Financial Advisors.    

If you have losses in an account handled by Bryce Jenney, call to learn how you may be able to recover damages through FINRA arbitration.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Donald Cox-Raymond James Broker-Discloses Regulatory Event and Customer Dispute-Wyandotte, MI

June 2020- Wyandotte, MI

The FINRA records of Donald Marshall Cox, a broker  employed  by  Raymond James & Associates, Inc. disclose  a regulatory event and a customer dispute.

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 12/ 2014, Florida Office of Financial Regulation filed case #55706-SR alleging Cox conducted investment advisory business from offices within this state without the benefit of lawful registration in violation with Florida Statutes.   Cox was sanctioned to cease and desist and he was fined $10,000.

In October  2018,  a Raymond James & Associates, Inc. customer was paid $165,000 to resolve allegations of  breach of contract, breach of fiduciary duty, forgery, fraud, constructive fraud, professional malpractice, conversion and aiding and abetting.

Cox has been employed with Raymond James & Associates  since October of 2004.

If you have questions about an account  handled by Donald Marshall Cox call for a no charge consultation .

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.

International Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Lori Antolovic-Raymond James Broker-Discloses Regulatory Event-Dallas, TX

June 2020-Dallas, TX

According to publicly available records of Lori S. Antolovic ,  a  stockbroker employed with Raymond James & Associates, Inc. ,  discloses  a regulatory event .

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 August of 2019, FINRA  suspended  Antolovic  from the securities industry for three months and fined her $7,500 after finding that in connection with an underwriting of municipal securities in a conduit financing for a company, she violated MSRB Rule G-17 by failing to confirm that an Individual, a member of the company’s board of directors, had authority to direct the payment of a $2 million development fee to a company he controlled from the proceeds of the offering. The findings stated that, in email communications with Antolovic, the individual made several statements suggesting that perhaps he had not informed the company of all the specific costs to be paid out of the cost of issuance. Despite these indications that other officials at the company may not have known of this material aspect of the financing, Antolovic made provision in the offering for the payment of the fee. In fact, the company had not specifically authorized the $2 million payment. Antolovic disclosed the fee to the company shortly before the issuance and it later demanded that the other company return the fee.

Antolovic  has been employed by Raymond James & Associates, Inc.   since January of 2013.      Prior to that time she was with Morgan Keegan & Compnay,  ABN Amro Incorporated and Stephens, Inc.

If you have questions about  an account handled by Lori Sullivan Antolovic  ,call to speak with an experienced securities attorney.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870