STEVEN HOLT ABERNATHY is currently employed as a Broker and/or Investment Adviser at DINOSAUR FINANCIAL GROUP, L.L.C located at 470 PARK AVE SOUTH, 9TH FLOOR, NEW YORK, NY, 10016.
STEVEN HOLT ABERNATHY has worked at DINOSAUR FINANCIAL GROUP, L.L.C since February 15, 2017
Disclosure History
STEVEN HOLT ABERNATHY has 2 Disclosure Event(s).
Date: September 09, 1992 Category: Customer Dispute Allegations: TRADE ERROR, SHORT SALE SHOULD HAVE BEEN APURCHASE ORDER DAMAGES $25,000 Damage Amount Requested: $25,000.00 Settlement Amount: $10,000.00 Broker Comment: I WAS NOT THE CUSTOMER`S REPRESENTATIVE WHEN THETRADE TOOK PLACE AND THE FIRM SETTLED WITH THE CUSTOMER FOR$10,000 WITHOUT CONSULTING ME.I WAS ASSIGNED THIS ACCOUNT AFTER THE REGISTEREDREPRESENTATIVE WHO EXECUTED THE TRADE LEFT THE FIRM. I WAS NOTTHE BROKER OF RECORD AND WAS NOT ASKED TO PARTICIPATE IN THESETTLEMENT IN ANY WAY.
Date: October 11, 1989 Category: Customer Dispute Allegations: UNAUTHORIZED PURCHASES, FAILURE TO RESTOREFUNDS, CLAIM OF $36,902 Damage Amount Requested: $36,902.24 Settlement Amount: $14,999.99 Broker Comment: SHEARSON SETTLED WITH CUSTOMER FOR $14,999[CUSTOMER] MADE INVESTMENTS AND DID NOT PAYFOR THEM, THE TRADES LOST MONEY. SHEARSON SETTLED THE CLAIMWITHOUT ADVISING ME OR ASKING FOR PHONE RECORDS VERIFYING DATESAND THE AMOUNT OF TIME OF EACH CALL. CONSEQUENTLY, I WAS NEVERASKED TO PAY ANY PART OF THE SETTLEMENT. IN SHORT, THERE WERENEVER ANY UNAUTHORIZED TRADES IN [CUSTOMER'S] ACCOUNT.
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