WARNING! Investigation of STEVEN PAGARTANIS, Lombard Securities and Cadaret, Grant & Co.
Steven Pagartanis, formerly with Lombard Securities, Barred from Securities Industry
Have you lost money with financial advisor Steven Pagartanis of Setauket, New York? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Steven Pagartanis. FINRA barred Pagartanis from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Pagartanis regarding allegations that he stole or misappropriated customer funds and also made fraudulent misrepresentations.
Steven Pagartanis was a financial advisor and registered representative of Lombard Securities from September 2017 to March 2018. He was also affiliated with Cadaret, Grant & Company from September 2012 to March 2017. He worked at a branch office in Setauket, New York. Pagartanis has been the subject of at least three customer cases, including at least one complaint about “Genesis” Company.
Brokerage firms like Lombard Securities and Cadaret, Grant & Company have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Pagartanis, Steven FINRA AWC
Click to view: Pagartanis, Steven BrokerCheck 4.16.18
If you lost money with Steven Pagartanis, Genesis Company, or Lombard Securities, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.