Scroll Top

John Dobbertin Lawsuit

John Dobbertin Lawsuit | Broker Misconduct

John Dobbertin Lawsuit

John Dobbertin is a Fayetteville, New York broker. Dobbertin is currently registered with American Portfolios Financial Services and was previously registered with LPL Financial Corporation. Dobbertin currently has 3 Brokercheck Disclosures, including a Regulatory Suspension and Civil and Administrative Penalty for failing to disclose being “charged with a felony offense” and “two unsatisfied federal tax liens.

Peiffer Wolf Carr & Kane is currently investigating claims against John Dobbertin, a registered broker at Lexington Financial Group and American Portfolios Financial in Fayetteville, NY.

According to FINRA’s BrokerCheck website for Public Disclosures, John Dobbertin has been the subject of three disclosures. Some of the more notable disclosures are as follows:

  • 2009: Employment Separation After Allegations – LPL Financial permitted Dobbertin to resign after alleging that he was “not following LPL policies and procedures relative to processing variable annuity transactions.
  • 2010: Criminal Charges – Repeated Failure to File Tax – Reduced to Criminal Tax Fraud in the 5th
  • 2014: Regulatory – FINRA suspended Dobbertin for six months and imposed a Civil and Administrative Penalty of $5,000 over allegations of not properly disclosing that “he had been charged with a felony offense” and not properly disclosing that he had “two unsatisfied federal tax liens.

To review John Dobbertin’s Brokercheck report, click here: https://brokercheck.finra.org/individual/summary/3254308

Financial advisors (brokers) have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

John Dobbertin has worked at multiple firms over the years, including Lexington Financial Group, American Portfolios Financial Services, LPL Financial Corporation, The Lincoln National Life Insurance Company, and Lincoln Financial Advisors Corporation. FINRA maintains a database of investor complaints and disciplinary and employment history for registered representatives and publishes some of this information on its BrokerCheck website, www.brokercheck.finra.org.

John Dobbertin Broker | John Dobbertin Lawsuit

Based on our experience, we believe that there are more investors who have been the victim of Dobbertin’s alleged broker misconduct and investment fraud. If you’ve worked with or invested with John Dobbertin, you should contact Peiffer Wolf Carr & Kane immediately for a FREE Consultation.

Peiffer Wolf Carr & Kane is currently investigating John Dobbertin’s practices, as well as the products he recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us Today for a FREE Consultation.  585-310-5140

FREE Consultation

If you believe you were a victim of predatory lending, investment fraud, or broker misconduct, it is imperative to take action. Peiffer Wolf Carr & Kane has represented thousands of victims, and we remain committed to fighting on behalf of investors. We focus on identifying parties that are not only liable but have the financial ability to compensate victimized investors. Our goal is to put money back into our clients’ pockets.

Contact Peiffer Wolf Carr & Kane today by filling out a Contact Form on our website or by calling 585-310-5140 to schedule a FREE Case Evaluation

securities fraud in the news

A Burt Marshall victim tries a new strategy to recover his money. Will others join him?

Berkshire Bank Sued For Customer’s Alleged $90M Ponzi

DOL Unveils Final Fiduciary Rule for Retirement Accounts

FAQ

Yes. Please call us or use our contact form to request a Free Case Evaluation. We have a national team of attorneys and staff who look forward to speaking with you.

Typically, we represent clients on contingency fee agreements. If we take your case under a contingency fee arrangement, you won’t owe our firm any legal fees unless we are able to recover money for you.

Our contingency fee agreements are usually based on a percentage of the amount we recover for our clients. The contingency fee amount is determined by the type of case, our estimate of how long it will take to resolve your case, and our estimate of the litigation costs we will advance in your case. Each engagement agreement includes the details of the fee arrangement. Questions about our fee agreements are welcomed and encouraged.

In most litigation matters, it is extremely difficult – practically impossible – to predict how long it will take to resolve a particular case. Every case is different, and we will do our best to provide you with an estimate based on your case and our experience with similar cases. Moreover, we will do our best to keep you updated and manage expectations along the way.

DO YOU HAVE ANY QUESTIONS?

We handle cases that change lives. Contact us today for a FREE consultation.

Practice Chairs
Attorney Joe Peiffer
JOSEPH C. PEIFFER
Founding Partner
Jason_kane_400x372
JASON J. KANE
Partner