Switch to ADA Accessible Theme
Miami Investment Fraud Attorney
305.372.9700
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Category Archives: Unauthorized Trading

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 »

  • Super Lawyers
  • AV Preeminent
  • Million Dollar Advocates Forum
  • Judicial Edition 2019
Location

Office
Location

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

Telephone: 305-372-9700
Fax: 305-372-8265

Connect
With Us

  • Facebook
  • Twitter
  • LinkedIn

The information on this website is for general information purposes only. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.

No content on this site may be reused in any fashion without written permission from www.Carlson-Law.net

MileMark Media - Practice Growth Solutions

© 2015 - 2020 Carlson & Associates, P.A. All rights reserved. This law firm website is managed by MileMark Media.