FINRA

Without admitting or denying the findings, Pastor consented to the sanction and to the entry of findings that he provided false information to FINRA during on-the-record testimony in the course of an investigation regarding unauthorized trades he executed in the account of one of his member firm's customers and false trade confirmations that he provided to the customer. The findings stated that Pastor's firm had filed a Form U5 that terminated his association with the firm based on the customer's complaint. Pastor claimed to FINRA that the customer authorized the trades at issue and denied providing false trade confirmations to the customer, which purportedly demonstrated that he had reversed the unauthorized trades. The customer never authorized the trades at issue and Pastor did, in fact, provide false trade confirmations to the customer in an attempt to prove to her that he reversed the unauthorized trades.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

All capacities

indefinite

9/4/2019

Client alleges misrepresentation of a mutual fund investment and claimed she did not authorize an insurance premium payment from her account.

$200,000.00

$18,000.00

Client alleged forgery in connection with unauthorized trades in her account.

$38,725.00

$60,000.00

Although Pastor was alleged by the client to have executed an unauthorized trade and alleged to have been responsible for non-authentic documents, that was simply not the case. The client thoroughly was aware of the position and status of her account and at no time did Pastor forge or improperly create any non-authenticdocuments. Pastor believes that the client was simply confused or had a complete misunderstanding of what had occurred.

Provenance Wealth Advisors

Discharged

Financial Advisor was terminated from Raymond James after client alleged unauthorized purchases in her account. Client further alleged that FA misrepresented that the positions were sold in her account and in support client was provided with sale confirms, which the Firm determined were not authentic. After an investigation by Raymond James Financial Services it was determined that the IAR violated Raymond James' Company policy.

Mr. Pastor was dually registered with Raymond James and Provenance. Although Mr. Pastor was alleged by the client to have executed an unauthorized trade and alleged to have been responsible for non-authentic documents, that was simply not the case. The client thoroughly was aware of the position and status of her account and at no time did Pastor forge or improperly create any non-authentic documents. Pastor believes that the client was simply confused or had a complete misunderstanding of what had occurred. Because of Provenance Wealth's relationship with Raymond James, Raymond James required Provenance Wealth to discharge Mr. Pastor.

Raymond James Financial Services, Inc

Discharged

Financial advisor was terminated after client alleged unauthorized purchases in her account. Client further alleged that FA misrepresented that the positions were sold in her account and in support client was provided with sale confirms, which the Firm determined were not authentic.

Although Pastor was alleged by the client to have executed an unauthorized trade and alleged to have been responsible for non-authentic documents, that was simply not the case. The client thoroughly was aware of the position and status of her account and at no time did Pastor forge or improperly create any non-authentic documents. Pastor believes that the client was simply confused or had a complete misunderstanding of what had occurred.