STEVEN HARTMAN is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 433 SOUTH MAIN STREET, SUITE 325, WEST HARTFORD, CT, 06110.
STEVEN HARTMAN has worked at RAYMOND JAMES & ASSOCIATES, INC. since February 23, 2018
Disclosure History
STEVEN HARTMAN has 2 Disclosure Event(s).
Date: August 15, 2006 Category: Customer Dispute Allegations: CLIENT ALLEGES CHURNING IN HIS ACCOUNT BY HIS FINANCIAL ADVISOR FOR THE PAST FIVE YEARS. Damage Amount Requested: $25,000.00
Date: August 19, 1997 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY DUTY; MISREPRESENTATION Damage Amount Requested: $10,000.00 Damages Granted: $5,000.00 Broker Comment: RESPONDENTS ARE JOINTLY AND SEVERALLY LIABLE AND SHALL PAY TO THE CLAIMANTS $5,000.00.CLIENT PURCHASED STOCK IN QUESTION ON MARCH 11,1994. I DID NOT ARRIVE AND BECOME BRANCH MANAGER IN HARTFORD UNTIL JANUARY 6,1996. IT WAS IMPOSSIBLE TO SUPERVISE A TRADE IN AN OFFICE THAT I WAS NOT SUPERVISING. FORMER BRANCH MANAGER SHOULD HAVE BEEN NAMED IN COMPLAINT.
More Information
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