Tag Archives: Athanasios Tomaras

RF Lafferty Stockbroker Sanctioned For Outside Business Activity

September 16, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on RF Lafferty Stockbroker Sanctioned For Outside Business Activity

Athanasios Tomaras (also known as Thanasi Tomaras) of Oldsmar Florida a stockbroker currently registered with RF Lafferty Co. Inc. has been fined $5,000.00 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Tomaras failed to identify outside business activities for RF Lafferty […]

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Colorado Places Fulcrum Stockbroker On Heightened Supervision

August 27, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Unauthorized Trading, Unsuitable Investment Recommendations   |   Comments Off on Colorado Places Fulcrum Stockbroker On Heightened Supervision

Athanasios Tomaras (also known as Thanasi Tomaras) of Oldsmar Florida a stockbroker formerly employed by Fulcrum Securities LLC and Fulcrum Advisory Services LLC is referenced in a Stipulation and Consent Licensing Order issued by Colorado Division of Securities in which Tomaras was placed on heightened supervision founded on allegations of customer disputes and regulatory infractions […]

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Fulcrum Securities Named In Customer Securities Arbitration Alleging Unsuitablity

Athanasios Tomaras, of Oldsmar, Florida, a stockbroker formerly registered with Fulcrum Securities, LLC, has been subject to a customer initiated investment related arbitration claim from October 17, 2016, in which the customer requested $189,000.00 in damages based upon allegations that from July of 2013 to January of 2016, Tomaras made unsuitable investment recommendations to the […]

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