April 20, 2018

Steven Pagartanis, Ex-Lombard and Cadaret Grant Broker, Barred from Securities Industry While Being Investigated for Possible Fraud and Theft

On April 13, 2018, FINRA announced it barred securities broker Steven Pagartanis from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Steven Pagartanis for declining to provide sworn testimony during

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