STEVEN T. NOVOTNY

STEVEN T. NOVOTNY is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 18 Corporate Woods Blvd Fl 2, FLOOR 2, Albany, NY, 12211.

STEVEN T. NOVOTNY has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since November 16, 2012

Disclosure History

STEVEN T. NOVOTNY has 1 Disclosure Event(s).

Date: March 16, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGES HE CLEARLY STATED TO HIS AGENT THAT HE WANTED TO PURCHASE A FIXED, GUARANTEED, INSURED ACCOUNT. CLIENT ALLEGES THAT AFTER FURTHER REVIEW, HE REALIZES HE PURCHASED A VARIABLE ANNUITY. CLIENT IS REQUESTING THE FIRM TO REFUND HIS INITIAL INVESTMENT WITHOUT THE IMPOSITION OF A SURRENDER CHARGE. DAMAGES UNSPECIFIED.
Broker Comment: THE FIRM FOUND NO BASIS TO THE CUSTOMER'S COMPLAINT.

More Information

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