Tag Archives: Steven Pagartanis

FINRA Nails Cadaret Grant For Failures In Pagartanis Ponzi Scheme

July 11, 2020  |   Posted by :   |   Failure To Supervise, Misappropriation of Funds, Ponzi Schemes, Stockbroker Theft   |   Comments Off on FINRA Nails Cadaret Grant For Failures In Pagartanis Ponzi Scheme

Cadaret Grant a securities broker dealer headquartered in Syracuse New York has been censured and fined $200,000.00 by Financial Industry Regulatory Authority (FINRA) based on findings that Cadaret Grant failed to supervise its stockbrokers who engaged in private securities transactions one or more of which was a Ponzi scheme. Letter of Acceptance Waiver and Consent […]

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Lombard Stockbroker Sentenced To Jail For Fraud

May 12, 2020  |   Posted by :   |   Misappropriation of Funds, Ponzi Schemes, Securities Arbitration Claims, Securities Fraud, Stockbroker Theft   |   Comments Off on Lombard Stockbroker Sentenced To Jail For Fraud

Steven Pagartanis (also known as Steve Pagartanis) of Setauket New York a stockbroker registered with Lombard Securities Incorporated has been sentenced by a United States District Judge to 170 months behind bars as a result of the stockbroker pleading guilty to conspiring to commit wire and mail fraud as part of carrying out a securities […]

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Pagartanis Barred For Hindering Ponzi Investigation

Steven Pagartanis of Setauket New York a stockbroker formerly registered with Lombard Securities Incorporated who is barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations that he misappropriated customer funds and made fraudulent misrepresentations. Letter of Acceptance […]

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Cadaret Grant Terminates Stockbroker For Selling Away

Steven Pagartanis, of Setauket, New York, a stockbroker formerly registered with Cadaret, Grant & Co., Inc., has been terminated by the firm on March 20, 2017, based on allegations that the firm received a customer initiated investment related arbitration claim pertaining to Pagartanis’ conduct that contained accusations of conversion of the customer’s funds, securities fraud […]

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