STEVEN JOHN SARIGIANIS

STEVEN JOHN SARIGIANIS is currently employed as a Broker and/or Investment Adviser at BENGUR BRYAN & CO., INC. located at 509 SOUTH EXETER STREET, SUITE 210, BALTIMORE, MD, 21202.

STEVEN JOHN SARIGIANIS has worked at BENGUR BRYAN & CO., INC. since May 23, 2017

Disclosure History

STEVEN JOHN SARIGIANIS has 2 Disclosure Event(s).

Date: April 08, 2013
Category: Regulatory

Date: April 26, 2002
Category: Customer Dispute
Allegations: CLIENT CLAIMS THAT UNSPECIFIED TRANSACTIONS PRIOR TO DECEMBER 2000 WERE NOT AUTHORIZED. CLIENT DOES NOT CLAIM A COMPENSATORY DAMAGE AMOUNT. THE FIRM HAS BEEN UNABLE TO DETERMINE THAT THE DAMAGES FROM THE ALLEGED CONDUCT WOULD BE LESS THAN $5,000.
Settlement Amount: $97,500.00

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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