Stefan Pastor - Financial Advisor/Broker Stefan Pastor Barred from Securities Industry
Stefan Pastor - Financial Advisor/Broker Stefan Pastor Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Stefan Pastor CRD #5141819
Stefan Pastor was a formerly licensed broker/financial advisor with Raymond James. According to FINRA, Stefan Pastor was barred from the securities industry in September 2019.
According to FINRA Allegations
Stefan Pastor consented to the sanction and to the entry of findings that Stefan Pastor provided false information to FINRA during on-the-record testimony in the course of 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. The findings stated that Stefan Pastor's firm had filed a Form U5 that terminated his association with the firm based on the customer's complaint. Stefan Pastor claimed to FINRA that the customer authorized the trades at issue and denied providing false trade confirmations to the customer, which purportedly demonstrated that he had reversed the unauthorized trades. The customer never authorized the trades at issue and Stefan Pastor did, in fact, provide false trade confirmations to the customer in an attempt to prove to her that he reversed the unauthorized trades.
According to Stefan Pastor's CRD:
Two customer disputes have been filed alleging sales practice violations against Stefan Pastor.
Customer Dispute 1/23/19: Client alleges misrepresentation of a mutual fund investment and claimed she did not authorize an insurance premium payment from her account. This customer dispute is pending and seeks $46,995.40 in damages.
Customer Dispute 4/21/18: Client alleged forgery in connection with unauthorized trades in her account. This customer dispute settled for $60,000.
Goodman & Nekvasil, P.A. May Recover Investment Losses
If you lost any money on investments with Stefan Pastor, you may be able to recover your losses. If you lost money on investments with Stefan Pastor and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Stefan Pastor’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Stefan Pastor and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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