Steven Bencivenga: Three Regulatory Sanctions

Steven Bencivenga

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 31, 2017 indicate that New York-based Laidlaw broker Steven Bencivenga has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Steven Bencivenga (CRD# 3000161).

Steven Bencivenga has spent seventeen years in the securities industry and has been registered with Laidlaw & Company in New York, New York since 2013. Previous registrations include Clarke Dodge & Company in New York, New York; Meyers Associates in New York, New York; Bell Investment Group in New York, New York; JP Turner & Company in Atlanta, Georgia; and Josephthal & Company in New York, New York. He is a registered broker with 24 US states and territories.

According to his BrokerCheck report, Steven Bencivenga has received three regulatory sanctions, one customer complaint, and one pending customer complaint.

In October 2016 a customer alleged Steven Bencivenga, while employed at Laidlaw & Company and Meyers Associates, recommended unsuitable investments, executed unauthorized trades, and over-concentrated investments. The customer is seeking $500,000 in damages in the pending complaint.

In 2007 the Ohio Division of Securities sanctioned Steven Bencivenga in connection to allegations he “lacked good business repute.” Mr. Bencivenga’s licensure in the state was revoked.

In 2007 the Illinois Securities Division sanctioned him in connection to an earlier NASD action. He was issued a fine of $500 and a 2-year suspension.

In 2006 the National Association of Securities Dealers sanctioned him following allegations he executed transactions on margin without authorization. He was issued fine of $15,000 and a five-month suspension.

If you or someone you know has a complaint regarding Steven Bencivenga, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.