Steven Eric Erickson (Steven Erickson) – Financial Advisor/Broker Steven Erickson Discharged from LPL Financial LLC | Goodman & Nekvasil P.A., May Recover Investor Losses
Steven Erickson is currently a licensed financial advisor/broker with Concorde Investment Services, LLC and Concorde Asset Management, LLC. Steven Erickson was a previously licensed financial advisor/broker with International Assets Investment Management, LLC, International Assets Advisory, LLC, and LPL Financial LLC.
According to Steven Erickson’s BrokerCheck Report, Steven Erickson was discharged from LPL Financial LLC in December 2018. LPL Financial LLC reported that Steven Erickson was discharged after repeated triggering of compliance alerts for trading ahead of customers and low-priced/unlisted securities solicitation, in violation of Firm policies.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Steven Erickson and believe 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 concerning Steven Erickson’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 $180 million on behalf of victimized investors. If you lost money on investments with Steven Erickson 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.
Some of the information in this blog post was obtained on 1/13/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.