Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 7, 2018 indicate that former New York-based Lombard Securities broker Steven Pagartanis has been sanctioned by FINRA and barred from acting as a broker, and has also been named in pending SEC fraud charges. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pagartanis (CRD# 1958879).
Steven Pagartanis has spent 28 years in the securities industry and was most recently registered with Lombard Securities in Setauket, New York (2017-2018). Previous registrations include Cadaret Grant & Company in Setauket, New York (2012-2017); Woodbury Financial Services in East Setauket, New York (2011-2012); Cadaret Grant & Company in East Setauket, New York (2006-2011); Invest Financial Corporation in South Setauket, New York (2005-2006); Cadaret Grant & Company in Syracuse, New York (2003-2005); Yankee Financial Group in Melville, New York (2002-2003); Park Avenue Securities in New York, New York (1999-2002; Guardian Investor Services in New York, New York (1997-1999); Tower Square Securities in El Segundo, California (1996-1997); John Hancock Distributors in Boston, Massachusetts (1995-1996); John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1995-1996); Pruco Securities Corporation in Newark, New Jersey (1989-1994); and the Prudential Life Insurance Company of America in Newark, New Jersey (1989-1993). He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one customer complaint, nine pending complaints, one FINRA sanction, and one pending SEC complaint.