Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Steven Pagartanis (Steve Pagartanis). If you suffered losses investing with Steven Pagartanis (Steve Pagartanis), then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Steven Pagartanis (Steve Pagartanis) (CRD# 1958879)
As of October 11, 2019, Steven Pagartanis (Steve Pagartanis)’s FINRA BrokerCheck Report contains the following:
Disclosure Events
12 Customer Dispute(s)
2 Regulatory Event(s)
2 Employment Separation After Allegations
1 Civil Disclosure(s)
1 Judgment(s)/Lien(s)
Current and Previous Registrations
09/07/2017 – 03/17/2018 LOMBARD SECURITIES INCORPORATED (CRD#:27954) Seatauket, NY
09/17/2012 – 03/20/2017 CADARET, GRANT & CO., INC. (CRD#:10641) SETAUKET, NY
08/24/2011 – 09/27/2012 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) EAST SETAUKET, NY
01/03/2006 – 09/13/2011 CADARET, GRANT & CO., INC. (CRD#:10641) EAST SETAUKET, NY
12/07/2005 – 02/01/2006 INVEST FINANCIAL CORPORATION (CRD#:12984) SOUTH SETAUKET, NY
08/28/2003 – 12/08/2005 CADARET, GRANT & CO., INC. (CRD#:10641) SYRACUSE, NY
12/05/2002 – 09/08/2003 YANKEE FINANCIAL GROUP, INC. (CRD#:17966) MELVILLE, NY
FINRA expelled the firm on 08/04/2006
05/03/1999 – 10/30/2002 PARK AVENUE SECURITIES LLC (CRD#:46173) NEW YORK, NY
10/09/1997 – 05/03/1999 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) NEW YORK, NY
07/18/1996 – 09/19/1997 TOWER SQUARE SECURITIES, INC. (CRD#:833) EL SEGUNDO, CA
01/11/1995 – 07/09/1996 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468) BOSTON, MA
01/10/1995 – 07/09/1996 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181) BOSTON, MA
06/29/1989 – 12/22/1994 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
06/29/1989 – 12/10/1993 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Steven Pagartanis (Steve Pagartanis) and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.