STEVEN HARTMAN

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

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.

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