STEVEN ERIC DOLGIN is currently employed as a Broker and/or Investment Adviser at JANNEY MONTGOMERY SCOTT LLC located at 324 SOUTH SERVICE ROAD, SUITE 100, MELVILLE, NY, 11747.
STEVEN ERIC DOLGIN has worked at JANNEY MONTGOMERY SCOTT LLC since May 14, 2004
Disclosure History
STEVEN ERIC DOLGIN has 2 Disclosure Event(s).
Date: August 04, 2015 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE FINANCIAL ADVISOR RECOMMENDED THE PURCHASE OF SECURITIES WHICH WERE NOT CONSISTENT WITH HIS INVESTMENT OBJECTIVE AND RISK TOLERANCE AND RESULTED IN LOSSES IN THE CLIENT'S ACCOUNT. Damage Amount Requested: $5,000.00
Date: August 11, 2007 Category: Customer Dispute Allegations: CUSTOMER ALLEGES UNAUTHORIZED TRADING THE ACCOUNT IN JUNE 2007NO CLAIM FOR DAMAGES ASSERTERD BY THE CUSTOMER. Broker Comment: CLAIM DENIED BY FIRM ON NOVEMBER 30, 2007. ON REVIEW THE FINANCIAL CONSULTANT REBUTS THAT THE TRANSACTIONS COMPLAINED OF WERE AUTHORIZED AT THE POINT OF SALE AND DOCUMENTED VIA BOTH CONTEMPORANEOUS TRADE CONFIRMATIONS AND PERIODIC STATEMENTS.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for STEVEN ERIC DOLGIN, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.