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Articles Posted in Unauthorized Trading

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Pratul Agnihotri (CRD#: 4031797) is currently under investigation by FINRA authorities for violating several FINRA Rules: “Violation of FINRA Rule 2010 – conversion of investor funds; Violation of FINRA Rules 3270 and 2010 – engaging in an outside business activity without providing prior written notice to you FINRA member employer firms.” Report about Pratul V. Aginhotri, FINRA BrokerCheck, 2020. As of October 18, 2019, FINRA has made a preliminary determination that it recommends disciplinary action be takin against Agnihotri for his alleged FINRA Rule violations.Pratul Agnihotri (CRD#: 4031797) is currently under investigation by FINRA authorities for violating several FINRA Rules: “Violation of FINRA Rule 2010 – conversion of investor funds; Violation of FINRA Rules 3270 and 2010 – engaging in an outside business activity without providing prior written notice to you FINRA member employer firms.” Report about Pratul V. Aginhotri, FINRA BrokerCheck, 2020.

As of October 18, 2019, FINRA has made a preliminary determination that it recommends disciplinary action be takin against Agnihotri for his alleged FINRA Rule violations. Continue reading

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Stefan Anton Pastor (CRD: #5141819) is a former registered broker and investment advisor whose last employer was Raymond James Financial Services, Inc. (CRD# 6694) of Fort Lauderdale, FL. Pastor was also dually registered with Raymond James and Provenance Wealth Advisors during this period. His previous employers include Walnut Street Securities, Inc. (CRD#:15840), also of Fort Lauderdale, and Ameriprise Financial Services, Inc. (CRD#:6363) of Plantation, FL. He has been in the industry since 2006. After a customer’s complaint of forgery and unauthorized trades to her account and false sales confirmations, both Raymond James Financial and Provenance Wealth Advisors discharged him. The client requested damages in the amount of $38,725.00, and the case was settled for $60,000.Stefan Pastor (Stefan Anton Pastor) (CRD: #5141819) is a former registered broker and investment advisor whose last employer was Raymond James Financial Services, Inc. (CRD# 6694) of Fort Lauderdale, FL. Pastor was also dually registered with Raymond James and Provenance Wealth Advisors during this period. His previous employers include Walnut Street Securities, Inc. (CRD#:15840), also of Fort Lauderdale, and Ameriprise Financial Services, Inc. (CRD#:6363) of Plantation, FL. He has been in the industry since 2006.

After a customer’s complaint of forgery and unauthorized trades to her account and false sales confirmations, both Raymond James Financial and Provenance Wealth Advisors discharged him. The client requested damages in the amount of $38,725.00, and the case was settled for $60,000. Continue reading

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David Howard Fagenson (CRD#: 1652012) is a previously registered broker and current investment advisor whose last employer was Newbridge Securities Corporation (CRD#:104065) of Boca Raton, FL. His previous employers include UBS Financial Services Inc. (CRD#:8174) of Palm Beach, FL, Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of West Palm Beach, FL, and Morgan Stanley DW Inc. (CRD#:7556) of Purchase, NY. No current employment information is available. He has been in the business since 1987.FINRA suspended Fagenson for exercising de facto control over the accounts of three senior investors without their consent, making unsuitable trades, losing money from the accounts and generating excess commissions for himself and his firm while at UBS. Fagenson was found to have engaged in “quantitatively unsuitable trading” in three accounts of senior investors, between January 2012 and September 2016. David Howard Fagenson (CRD#: 1652012) is a previously registered broker and current investment advisor whose last employer was Newbridge Securities Corporation (CRD#:104065) of Boca Raton, FL. His previous employers include UBS Financial Services Inc. (CRD#:8174) of Palm Beach, FL, Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691) of West Palm Beach, FL, and Morgan Stanley DW Inc. (CRD#:7556) of Purchase, NY. No current employment information is available. He has been in the business since 1987. Continue reading

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Christopher Duke Bennet (CRD#: 2510231) is a former registered broker and investment advisor whose last employer was J.J.B. Hilliard, W.L. Lyons, LLC (CRD#:453) of Louisville, KY. He began with Lyons in 1995, and worked solely for the firm until 2018. No current employment information is available. There is no indication that he is retired, or is working with another broker-dealer.Bennet is the subject of 14 disclosures that begin in 2016, most of which are customer disputes. Bennet has a total of seven pending customer claims, four settlements, one award, and one claim which has been denied.Christopher Duke Bennet (CRD#: 2510231) is a former registered broker and investment advisor whose last employer was J.J.B. Hilliard, W.L. Lyons, LLC (CRD#:453) of Louisville, KY. He began with Lyons in 1995, and worked solely for the firm until 2018. No current employment information is available. There is no indication that he is retired, or is working with another broker-dealer.

Bennet is the subject of 14 disclosures that begin in 2016, most of which are customer disputes. Bennet has a total of seven pending customer claims, four settlements, one award, and one claim which has been denied. Continue reading

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Wilfred Rodriquez, Jr. (CRD#: 2504369, aka “Will” or “Wilfredo”) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Boca Raton, FL. His previous employers include Prudential Securities Incorporated (CRD#:7471) of New York, NY, UBS Painewebber Inc. (CRD#:8174) of Weehawken, NJ, and Citicorp Investment Services (CRD#:23988) of Long Island City, NY.Two of Rodriquez’ previous employers were expelled by FINRA: Euro-Atlantic Securities Inc. (CRD#:21367, expelled 09/08/1997) of Boca Raton, and Biltmore Securities, Inc. (CRD#:25023, expelled 03/01/1999) of Fort Lauderdale, FL. No current employment information is available. He has been in the industry since 1994. FINRA barred Rodriquez indefinitely, and in all capacities.Wilfred Rodriquez, Jr. (CRD#: 2504369, aka “Will” or “Wilfredo”) is a former registered broker and investment advisor whose last employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Boca Raton, FL. His previous employers include Prudential Securities Incorporated (CRD#:7471) of New York, NY, UBS Painewebber Inc. (CRD#:8174) of Weehawken, NJ, and Citicorp Investment Services (CRD#:23988) of Long Island City, NY. Continue reading

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Brandon Curt Stimpson (CRED#: 4299623) is a currently registered investment advisor and former registered broker. His last employer of record is Allegis Investment Services, LLC (CRD#:168557) of North Logan, UT. Previous employers include Signator Financial Services, Inc. (CRD#:19061), also of North Logan, Insphere Securities, Inc. (CRD#:136433) of Salt Lake City, UT, and Equity Services of Logan, UT. Current employment information is not listed. He has been in the business since 2000.Stimpson is the subject of nine disclosures, the latest a “separation employment after allegations.” Allegis Investment Advisors discharged Stimpson on 12/13/2017 after he “failed to follow firm policies and code of ethics.” Additional details are not available.Brandon Curt Stimpson (CRED#: 4299623) is a currently registered investment advisor and former registered broker. His last employer of record is Allegis Investment Services, LLC (CRD#:168557) of North Logan, UT. Previous employers include Signator Financial Services, Inc. (CRD#:19061), also of North Logan, Insphere Securities, Inc. (CRD#:136433) of Salt Lake City, UT, and Equity Services of Logan, UT. Current employment information is not listed. He has been in the business since 2000.

Stimpson is the subject of nine disclosures, the latest a “separation employment after allegations.” Allegis Investment Advisors discharged Stimpson on 12/13/2017 after he “failed to follow firm policies and code of ethics.” Additional details are not available. Continue reading

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Devin Michael McCabe (CRD#: 5645799) is a registered broker currently employed with Westpark Capital, Inc. (CRD#:39914) of Fort Lauderdale, FL. He was previously employed by Laidlaw & Company (UK) LTD. (CRD#:119037), Sterne Agee Financial Services, Inc. (CRD#:18456), and Emmett A Larkin Company, Inc. (CRD#:6625), all of Fort Lauderdale. He has been in the industry since 2009.McCabe is the subject of two disclosures. The first disclosure was filed on 5/15/2018. The customer alleges “churning, unauthorized and unsuitable trading from 2015-2017,” and requests damages of $25,413.00. The claim is currently listed as “pending.”Devin Michael McCabe (CRD#: 5645799) is a registered broker currently employed with Westpark Capital, Inc. (CRD#:39914) of Fort Lauderdale, FL. He was previously employed by Laidlaw & Company (UK) LTD. (CRD#:119037), Sterne Agee Financial Services, Inc. (CRD#:18456), and Emmett A Larkin Company, Inc. (CRD#:6625), all of Fort Lauderdale. He has been in the industry since 2009.

Devin Michael McCabe is the subject of two disclosures. The first disclosure was filed on 5/15/2018. The customer alleges “churning, unauthorized and unsuitable trading from 2015-2017,” and requests damages of $25,413.00. The claim is currently listed as “pending.” Continue reading

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Have-You-Invested-Money-with-William-“Billy”-Nelson-and-Lost-300x200Silver Law Group is investigating claims against brokers and financial advisors who committed misconduct in Boca Raton, Florida and the surrounding area.

Boca Raton is located in Palm Beach County, Florida on the east coast of the state. The city is located less than 50 miles away from Miami and less than 20 miles away from Silver Law Group offices. As of July 2015, Boca Raton’s estimated population is just over 93,000.

Boca Raton is home to the main campus of Florida Atlantic University, also known as FAU. Additionally, major supplier of office products and services Office Depot has its global headquarters in Boca Raton.

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iStock-492125706-300x200Silver Law Group is investigating claims against brokers and financial advisors who committed securities misconduct in Orlando, Florida and the surrounding area.

Orlando is located in Orange County, Florida and has a population of just under 2.5 million as of July 2015, the third-largest metropolitan area in Florida.

Orlando is also known as the “Theme Park Capital of the World,” featuring numerous high-profile theme parks such as Disney’s Magic Kingdom, Disney’s Epcot, Universal Studios, and Seaworld. In fact, the theme parks attracted over 66 million visitors to Orland in 2015 alone.

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Florida-Broker-Peter-Gouzos-Banned-by-FINRA-300x206Silver Law Group is investigating claims against brokers and financial advisors who committed securities misconduct in Tampa, Florida and the surrounding area.

Tampa is located in Hillsborough County, Florida. It is located on the west coast of Florida on the Tampa Bay near the Gulf of Mexico. As of July 2015, Tampa’s population is estimated to be 369,075. Tampa is part of the Tampa Bay Metropolitan area, which consists of St. Petersburg and Clearwater.

Tampa features numerous attractions such as the Tampa Bay Lightning, the Tampa Bay Buccaneers, the theme park Busch Gardens, the Florida Aquarium, and crystal blue gulf beaches.

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