Category Archives: Unauthorized Trading
Florida Broker Fined, Suspended for Improperly Exercising Trading Discretion in Customer Account
Felipe Henao Vargas (CRD #5140431) is a previously registered broker and registered investment adviser (RIA). From January 2016 to February of 2022, Mr. Vargas was a registered representative of Insigneo Securities LLC in Miami, Florida. In December of 2023, the Financial Industry Regulatory Authority (FINRA) fined and suspended Felipe Henao Vargas for exercising trading… Read More »
Florida Broker Fined, Suspended For Improperly Authorizing Discretion In Customer Account
John Charles Barnes (CRD #862738) is an actively registered FINRA broker and registered investment adviser (RIA). Since 2019, Mr. Barnes has served as a financial representative of Wilmington Capital Securities, LLC in Naples, Florida. Previously, he was associated with RBC Capital Markets, LLC (2006 to 2019), also in Naples, FL. In September of 2022,… Read More »
South Florida Financial Advisor Fined, Suspended For Unauthorized Trading
Alan Scot Feigenbaum (CRD#: 3132230) is a previously registered broker and previously registered investment advisor (RIA). Most recently, Mr. Feigenbaum served as a securities representative for Newbridge Securities Corporation in Boynton Beach, Florida (04/02/2019 – 05/07/2021). Prior to that, he was also associated with National Securities Corporation and Prime Capital Services. Recently, the Financial… Read More »
Florida Broker Suspended for Improperly Exercising Discretion in Customer Account
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
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
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
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 »
