Goodman & Nekvasil P.A., May Recover Investor Losses – Steven Kenneth Carlson (Steve Carlson) Fired by LPL Financial LLC
From 2010 until Steve Carlson’s firing in 2013, Steve Carlson was licensed with LPL Financial LLC. According to FINRA’s records, Steve Carlson was fired by LPL Financial LLC on September 27, 2013. LPL Financial LLC reported to FINRA that Steve Carlson’s firing related to failure to report customer complaints and difference of opinion between firm and advisor with respect to advisor’s investment philosophy for fee-based investment advisory accounts.
FINRA reports that three complaints and/or arbitration claims involving Steve Carlson’s conduct with LPL Financial LLC were filed, alleging poor performance, bad recommendations/poor advice, unsuitable investments, negligence, and/or breach of fiduciary duty. These complaints and/or arbitration claims all settled, with the largest settling for $82,500. Steve Carlson contributed $14,500 to this settlement. FINRA reports that two complaints involving Steve Carlson’s conduct with a prior employer were also settled.
If you lost any money on investments with Steve Carlson, you may be able to recover your losses from LPL Financial LLC. This is because LPL Financial LLC had a duty to supervise Steve Carlson.
If you lost money on investments with Steve Carlson, and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against LPL Financial LLC concerning Steve Carlson’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Steve Carlson and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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