Goodman & Nekvasil P.A., May Recover Investor Losses | Darin Richard Pastor (Darin Pastor), Financial Advisor Suspended from Securities Industry and Fined by the State of Hawaii
From 2013 until Darin Pastor’s resignation in 2014, Darin Pastor was licensed with Chelsea Financial Services. Darin Pastor was previously licensed with LPL Financial LLC and Pruco Securities LLC. Darin Pastor was also licensed with Courtlandt Securities Corporation. According to FINRA’s records, Darin Pastor resigned from Chelsea Financial Services on February 5, 2014. Chelsea Financial Services reported to FINRA that Darin Pastor was accused of participating in a series of unapproved private securities transactions in violation of Darin Pastor’s executed independent contractor branch agreement, standards of conduct memorandum, compliance manual acknowledgement as well as NASD Conduct Rule 3040.
Subsequent to Darin Pastor’s resignation from Chelsea Financial Services, FINRA investigated Darin Pastor and brought a disciplinary action against Darin Pastor. Darin Pastor was suspended for more than 1 year from the securities and investment banking industry on September 4, 2015. FINRA reports that Darin Pastor failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.
The State of Hawaii reported to FINRA that Darin Pastor was levied a fine of $6,000. The State of Hawaii reported to FINRA that Darin Pastor allegedly acted as an agent in the sale of a security in Hawaii but was not registered to do so.
FINRA also reports that an arbitration claim was filed involving Darin Pastor’s conduct with a prior employer, alleging poor recommendation/poor advice and suitability regarding mutual fund investment. This pending arbitration claim seeks $100,000 in damages.
If you lost any money on investments with Darin Pastor, you may be able to recover your losses from Chelsea Financial Services, LPL Financial LLC, Pruco Securities LLC and/or Courtlandt Securities Corporation. This is because Chelsea Financial Services, LPL Financial LLC, Pruco Securities LLC and Courtlandt Securities Corporation had a duty to supervise Darin Pastor.
If you lost money on investments with Darin Pastor and believe that 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 against Chelsea Financial Services, LPL Financial LLC, Pruco Securities LLC and/or Courtlandt Securities Corporation concerning Darin 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.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Darin 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.