Did you suffer investment losses after working with Steven Eric Dolgin, a/k/a Steven Dolgin, a broker and financial advisor previously registered with the Financial Industry Regulatory Authority (FINRA) through the Melville, New York branch of Janney Montgomery Scott, LLC (Janney) If so, the attorneys of Investment Loss Recovery Group want to help you. We are now investigating potential complaints against Steven Dolgin.
Our law firm works with clients nationwide who have lost money due to the negligence and/or misconduct of brokers and financial advisors whom they had trusted to provide sound investment advice and to ethically and responsibly handle their accounts. We bring more than 40 years of combined legal experience to our clients as well as in-depth knowledge of the financial services industry. Both of our attorneys have backgrounds as licensed securities brokers and as defense counsel for large Wall Street brokerage firms.
Contact us today if you incurred investment losses after working with negligent brokers such as Mr. Dolgin or Janney. We will review your potential claims in a free and confidential consultation.
Who Is Steven Dolgin?
You can find information about Steven Dolgin (CRD# 1202513) through two databases which are available online and accessible by the public, the FINRA Central Registration Depository (CRD) and Investment Adviser Registration Depository (IARD). Based on his FINRA BrokerCheck Report and his IARD Public Disclosure Report:
Mr. Dolgin has worked in the financial services industry since 1983. Over the course of his career, he has been registered with several FINRA firms through the 1980s and 1990s, however since 2003, he has been registered through:
- Wachovia Securities, LLC (2003-2004)
- Janney Montgomery Scott, LLC. in Melville, NY. (2004 present)
FINRA Brokercheck records reflect Mr. Dolgin was registered with a FINRA Series 7 license in 1983, a Series 8 in 1995, a Series 63 in 1983, and Series 65 in 1993. Prior to 2019, Mr. Dolgin’s FINRA Brokercheck report disclosed two customer disputes. One in 2007 alleged unauthorized trading which was denied, and one in 2015 that alleged a recommendation of securities that were inconsistent with the customer’s investment objectives and risk tolerance, which was closed- no action. In January 2019, there is another customer dispute disclosure alleging unsuitable recommendations and other allegations. The January 2019 customer dispute disclosure remains pending (as of March 2019). See FINRA Brokercheck report for additional details.
The Recent Customer Dispute Disclosure Reported on Steven Dolgin’s FINRA Brokercheck?
The allegations reflect unsuitable investment recommendations and material misrepresentations, a breach of fiduciary duty and execution of trades without client authorization. These allegations remain pending (as of March 2019).
How Can You Recover Investment Losses Involving Mr. Dolgin or Janney?
If you suffered investment losses involving Mr. Dolgin or Janney due to issues related to unsuitable recommendations, or if you suspect your accounts or investments were handled negligently or improperly, you may wish to seek legal advice and a no-cost review of your accounts or investments as soon as possible. You may be entitled to a recovery of your losses in addition to other damages. You may also have the right to file a private, confidential FINRA complaint against any broker, or brokerage firm that failed to properly handle your investment account, or may have failed to adequately supervise your investment accounts, or Mr. Dolgin’s conduct as a broker and financial advisor.
The skilled securities arbitration and investment fraud lawyers of Investment Loss Recovery Group have an insider’s view of the legal and regulatory issues that can affect a case, and we understand how brokerage firms evaluate these matters. We can review your case and present you with a strategic plan to help you recover your investment losses as expeditiously as possible.
We serve clients throughout the country. Contact us today for a free consultation and find out more about how we can assist you.