Haselkorn & Thibaut, a national investment fraud law firm, has initiated an investigation into Stefan Leonard Dolgoff, a stockbroker formerly registered with LPL Enterprise, LLC and Pruco Securities. If you are an investor who entrusted funds to Mr. Dolgoff, understanding your options and the specific issues related to this advisor is essential. This comprehensive report provides an overview of Mr. Dolgoff’s professional background, documented investor complaints, and actionable steps for those who may have suffered financial harm.
Who is Stefan Leonard Dolgoff?
Table of Contents
Stefan Leonard Dolgoff (CRD# 1230346) has spent several decades in the securities industry, most recently working with LPL Enterprise, LLC (11/2024–02/2025) and previously with Pruco Securities (07/1984–11/2024). As of February 2025, Mr. Dolgoff is not registered with any FINRA-member broker-dealer. Based in Hunt Valley, MD, he has operated as both a stockbroker and a financial advisor, and is listed as “Financial Professional Emeritus” in various online directories.
Summary of Customer Complaints & Disputes
Investor complaints are often an early warning sign for those evaluating the integrity and practices of a financial advisor. Below is a summary of the most recent and notable customer dispute involving Mr. Dolgoff, based on both web and industry inquiry:
| Date of Complaint | Broker-Dealer Involved | Allegation | Claimed Damages | Status |
|---|---|---|---|---|
| July 2025 | LPL Enterprise, LLC | Unauthorized trading in a variable annuity (January 2025) | $109,290 | Pending |
Nature of Allegations
Unauthorized Trading: The central complaint against Mr. Dolgoff involves alleged unauthorized trading within a client’s variable annuity account during January 2025, with the written complaint being officially filed in July 2025. The investor seeks recovery of $109,290 in damages. Unauthorized trading typically refers to transactions executed without a client’s prior approval or written consent, which is a direct violation of FINRA Rule 3260 (Discretionary Accounts) and FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade).
Misrepresentation and Misleading Statements: Additional allegations implicate potential misrepresentation and presentation of misleading information during the course of advisory services. Such conduct negatively impacts investor trust and may result in significant financial harm if clients act on incomplete or inaccurate information.
What Does This Mean for Current and Former Clients?
If you have invested through Stefan Dolgoff during his tenure at LPL Enterprise, LLC or Pruco Securities, it is wise to review your account statements and correspondence closely. Evidence of transactions you did not authorize, or unexplained loss in account value, deserve prompt attention.
Additionally, Mr. Dolgoff’s current status—no longer registered with a FINRA-member broker-dealer—can potentially make it more challenging for investors to secure direct communication or immediate remediation through standard firm channels.
Risks & Red Flags for Investors
- Pending Customer Dispute: The open complaint for $109,290 concerning unauthorized trading is a significant red flag and warrants attention from all affected clients.
- Past Affiliations: Mr. Dolgoff’s lengthy registration history with Pruco Securities, followed by a brief period with LPL Enterprise, may indicate changes in business practices or oversight worth reviewing.
- Deregistration with FINRA Firms: An advisor no longer registered with a FINRA broker-dealer may be more difficult to reach in the event of a dispute, complicating the recovery process.
- Allegations of Misrepresentation: Any suggestion of misleading statements is a serious matter, as it speaks to an advisor’s core duty to provide transparent, accurate advice to clients.
How Haselkorn & Thibaut Can Help
Haselkorn & Thibaut (investmentfraudlawyers.com) is investigating these allegations and representing investors nationwide with potential claims. With over 50 years of experience and a 98% success rate, the firm has recovered millions for clients in securities arbitration and litigation. If you or a loved one has suffered investment losses with Stefan Dolgoff, our team is available for a free and confidential consultation. All cases are handled on a contingency basis – no recovery, no fee.
Steps to Take if You Are Affected
- Gather all account records: Statements, emails, trade confirmations, and written correspondence can be critical.
- Document unauthorized or suspicious activity: Note any transactions or representations you did not approve or understand.
- Contact Haselkorn & Thibaut: Call 1-888-994-8066 for a no-cost, no-obligation case review from an experienced investment fraud attorney.
- Understand your rights: Investors can often seek recovery through FINRA arbitration.
Frequently Asked Questions
- Can I recover losses due to unauthorized trading?
Yes. If you can demonstrate the trades were not authorized, you may be entitled to full or partial recovery. - What if the advisor is no longer affiliated with a broker-dealer?
Haselkorn & Thibaut routinely handles cases against former advisors and their firms, helping clients pursue eligible claims even after the advisor’s departure. - How do I know if my claim is valid?
A detailed review by an experienced securities attorney can determine the strength of your claim and the appropriate path to possible recovery.
Take Action Today
Your financial future deserves attention and care. If you believe you have suffered losses due to the actions or advice of Stefan Leonard Dolgoff, take control and explore your options with guidance from a top-rated investment fraud law firm. Contact Haselkorn & Thibaut at 1-888-994-8066 for a free, confidential consultation. You pay no fees unless there is a recovery. Let our experience work for you and help restore your peace of mind.
