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Financial advisor Lynn Faust of Greenville, South Carolina, has been sanctioned by the Financial Industry Regulatory Authority following an investigation into allegations that she recommended an unsuitable pattern of short-term trading of Unit Investment Trusts in customer accounts. The self regulator found that Faust recommended that customers sell UITs short of…
Financial advisor Brian Visconti, recently of Tampa, Florida, was recently involved in a legal dispute with a customer who alleged that Visconti made unsuitable investment recommendations. According to FINRA’s Brokercheck website, the customer alleged that Visconti “improperly recommended investing in only a handful of technology sector equities.” The case settled…
Stefan Pastor of Fort Lauderdale, Florida has been barred from working in the securities brokerage industry by industry self-regulator FINRA after the regulator discovered that Pastor had been engaging in unauthorized trading in customer accounts and sending fake and falsified documentation to customers. Unauthorized Trading It is a violation of…