- 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.
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