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Steven Dolgin of Janney Montgomery Scott LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Steven Dolgin of Janney Montgomery Scott LLC?

Steven Dolgin (CRD #1202513) who is currently registered with Janney Montgomery Scott LLC and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations.

Steven Dolgin Customer Complaints

Steven Dolgin has been the subject of 3 customer complaints that we know about. One of Steven Dolgin’s 3 customer complaints was settled in favor of investors. Two of Steven Dolgin’s customers complaints were denied and the customers did not take any further action.

Allegations Against Steven Dolgin

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Client alleged that Steven Dolgin recommended the purchase of securities which were not consistent with his investment objective and risk tolerance and resulted in losses in the client’s account.
  • Client alleged that Steven Dolgin made unsuitable recommendations and material misrepresentations to the client, breached his fiduciary duty and executed trades in the client’s account without her authorization.
  • Customer alleged Steven Dolgin engaged in unauthorized trading the account.

Steven Dolgin Red Flags & Your Rights As An Investor

Of course, Steven Dolgin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Steven Dolgin at Janney Montgomery Scott LLC on alert to review carefully the activity and performance of their accounts and question whether Steven Dolgin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Janney Montgomery Scott LLC Due To Steven Dolgin

If you have questions about Janney Montgomery Scott LLC and/or Steven Dolgin and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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