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Miami Investment Fraud Attorney
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Category Archives: Unauthorized Trading

Florida Broker Suspended for Improperly Exercising Discretion in Customer Account

By Staff |

Stephen Paul Florio (CRD #1186577) is a licensed securities broker and professional investment advisor. From May of 2009 to July of 2015, Mr. Florio worked at Morgan Stanley. Subsequently, he was a financial representative for Raymond James & Associates from 2015 to 2018. Now, Mr. Florio is employed by Cambridge Investment Research. At all… Read More »

Broker With Ties to Florida Fined and Suspended for Unauthorized Trades

By Staff |

Sylvester Knox (CRD#: 1625705) is a previously registered broker and actively registered investment advisor (RIA). From August of 2000 to February of 2017, Mr. Knox was employed at Merrill, Lynch, Pierce, Fenner & Smith. Subsequently, he served as a representative for FSC Securities Corporation. In March of 2018, Sylvester Knox was sanctioned by the… Read More »

Florida Broker Barred from Securities Industry After Providing False Information to FINRA Investigators

By Staff |

Stefan Anton Pastor (CRD#: 5141819) is a former registered investment advisor and former licensed securities broker. From 2013 to 2018, Mr. Pastor served as a representative of Raymond James Financial Services in Fort Lauderdale, Florida. Before that, he was also associated with Walnut Street Securities and Ameriprise Financial. On September 4th, 2019, Stefan A…. Read More »

Florida Financial Advisor Fined, Suspended for Unauthorized Trading

By Staff |

Steven Michael Roffman (CRD#: 1673527) is a registered FINRA broker. Since 2016, Mr. Roffman has been employed at IFS Securities in Atlanta, Georgia. Prior to that, Mr. Roffman was also associated with several broker-dealers in Florida, including Ameriprise Financial Services, Raymond James & Associates, Morgan Keegan & Company, and North Coast Securities Corporation. In… Read More »

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1 SE 3rd Ave #1200
Suntrust International Center
Miami, Florida 33131

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