• February 23, 2019
• Janney Montgomery Scott

Steven Eric Dolgin is a Financial Advisor with Janney Montgomery Scott LLC in Melville, NY.  Steven Dolgin has been in the securities industry since 1983 and previously worked at PaineWebber, Smith Barney, Prudential Securities and Wachovia Securities.

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Steven Dolgin currently has a pending customer complaint disclosed on his CRD.  In January 2019, a customer 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.”

For a copy of the Steven Dolgin CRD, click https://brokercheck.finra.org/individual/summary/1202513

Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients.  To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.  

The Wolper Law Firm, P.A. represents investors nationwide in securities litigation and arbitration on a contingency fee basis.  Matt Wolper, the Managing Principal of the Wolper Law Firm, P.A., is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities.  Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters.  We can be reached at 800.931.8452 or by email at mwolper@wolperlawfirm.com.