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WARNING! Investigation: STEVEN PAGARTANIS Charged With FRAUD

Tag Archives: Lombard Securities

26
Jul

WARNING! Investigation: STEVEN PAGARTANIS Charged With FRAUD

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WARNING!  Investigation:  STEVEN PAGARTANIS Charged With FRAUD

Steven Pagartanis, formerly with Lombard Securities, Charged with Fraud   Have you lost money with financial advisor Steven Pagartanis of East Setauket, New York?  We are continuing our investigation into allegations made against Steven Pagartanis, who was recently charged with securities fraud and mail and wire fraud by the U.S. Attorney for the Eastern District ...

31
May

UPDATE! Steven Pagartanis of LOMBARD SECURITIES – Allegations of STEALING INVESTORS’ MONEY

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UPDATE!  Steven Pagartanis of LOMBARD SECURITIES – Allegations of STEALING INVESTORS’ MONEY

Steven Pagartanis, formerly with Lombard Securities, Alleged by SEC to Run $8 Million Scheme   Have you lost money with financial advisor Steven Pagartanis of Setauket, New York?  We are continuing our allegations made by the Securities and Exchange Commission (SEC) against Steven Pagartanis.  The SEC alleged that Pagartanis raised $8 million from investors in ...

16
Apr

WARNING! Investigation of STEVEN PAGARTANIS, Lombard Securities and Cadaret, Grant & Co.

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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.  ...

16
Mar

WARNING TO INVESTORS! David Guensch – Orefield, PA

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WARNING TO INVESTORS!  David Guensch – Orefield, PA

David Guensch from Orefield, Pennsylvania   Have you lost money with financial advisor David F. Guensch of Orefield, Pennsylvania?  We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against David F. Guensch. FINRA suspended Guensch for two months from the securities industry and fined him $5,000 regarding allegations that he submitted an ...

24
Mar

UPDATE! Lombard Securities Settles with FINRA

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UPDATE!  Lombard Securities Settles with FINRA

Lombard Securities, Inc. Settles with FINRA Regarding Sales of ETFs   We are currently investigating allegations made against Lombard Securities, Inc., a Baltimore, Maryland-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Lombard Securities, making numerous allegations regarding its conduct, including: a) failure to supervise the sale of non-traditional ...

25
Sep

WARNING! Impending Investigation: LOMBARD SECURITIES, INC. and ETFs

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WARNING!  Impending Investigation:  LOMBARD SECURITIES, INC. and ETFs

Lombard Securities, Inc. and ETFs   We are currently investigating allegations made against Lombard Securities, Inc., a Baltimore, Maryland-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Lombard Securities, making numerous allegations regarding its conduct, including: a) failure to supervise the sale of non-traditional ETFs; b) failure to preserve ...

10.0David P Neuman

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