Navigating the world of financial investments can be daunting, especially when choosing a financial advisor or stockbroker. Investors in Hunt Valley, MD, and beyond must remain vigilant to protect their assets. One name recently raising eyebrows is Stefan Leonard Dolgoff. Here’s a comprehensive look into his professional background, potential red flags, and the steps you can take if you’ve encountered investment issues.
Understanding Stefan Dolgoff’s Professional Background
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Name: Stefan Leonard Dolgoff
Current Employer: Not registered with a FINRA-member broker-dealer
Most Recent Registrations: LPL Enterprise, LLC (11/2024–02/2025); Pruco Securities (07/1984–11/2024)
Other Business Affiliations: “Financial Professional Emeritus”
CRD Number: 1230346
Role: Stockbroker / Financial Advisor
Potential Red Flags: Unauthorized Trading Allegations
A significant concern for investors is the pending customer complaint against Stefan Dolgoff, reported by LPL Enterprise LLC. The complaint alleges unauthorized trading involving a variable annuity in January 2025, with the investor seeking $109,290 in damages. This incident underscores the importance of understanding unauthorized trading and its implications for your investments.
What is Unauthorized Trading?
Unauthorized trading occurs when a broker makes trades on an account without the client’s explicit consent. According to FINRA Rule 3260, brokers managing discretionary accounts must have prior written authorization from the customer and approval from their firm. Engaging in unauthorized trades violates FINRA Rule 2010, which upholds standards of commercial honor and trade principles.
Other Allegations Against Stefan Dolgoff
- Misrepresentation / Misleading Statements: These claims suggest that a broker may have provided false or incomplete information to influence investment decisions.
Taking Action: Recover Your Investment Losses
If you have suffered investment losses with Stefan Dolgoff as your broker, it’s crucial to understand your rights and the avenues available for potential recovery.
What is FINRA Arbitration?
FINRA arbitration is a process that allows investors to resolve disputes with brokers or brokerage firms. The process is typically faster and less expensive than court litigation. If you believe you have a claim, pursuing arbitration could be a viable path to recovering lost assets.
Why Choose Haselkorn & Thibaut?
At Haselkorn & Thibaut, we specialize in representing investors who have suffered due to stockbroker misconduct. With offices in Boca Raton, FL, and Austin, TX, our experienced attorneys provide nationwide representation to help you navigate the complexities of securities law.
Why You Should Call Us:
- Free Consultation: Discuss your case at no cost with a professional who understands the nuances of securities law.
- Contingent Fee Basis: Most cases are handled on a contingent fee basis, meaning you only pay legal fees if we successfully recover your losses.
Experienced Representation: With a deep understanding of broker-dealer regulations and investor rights, our firm is dedicated to achieving the best outcome for your case.
Contact Us Today
If you’ve experienced financial loss due to the actions of Stefan Dolgoff or any other financial advisor, don’t hesitate to act. Call Haselkorn & Thibaut at 1-888-994-8066 for a free, no-obligation consultation. Understanding your rights and options is the first step towards recovering your investments.
Stay Informed: Protect Your Investments
To further safeguard your investments, regularly review your account statements and remain clear on all transactions made on your behalf. If you suspect any wrongdoing, investigate immediately and seek legal advice.
For more detailed information on a broker’s background, including any disciplinary actions, you can visit FINRA’s BrokerCheck.
Conclusion
The case of Stefan Leonard Dolgoff serves as a reminder of the importance of due diligence when selecting a financial advisor. By staying informed and proactive, you can better protect your investments and financial future. Remember, timely action is crucial in resolving any potential disputes and recovering your hard-earned money. Reach out to Haselkorn & Thibaut today to explore your options and secure your financial well-being.
