ERIK WILLIAM STOWERS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 170 S BLOOMINGDALE RD STE 200, BLOOMINGDALE, IL, 60108.
ERIK WILLIAM STOWERS has worked at LPL FINANCIAL LLC since November 21, 2017
Disclosure History
ERIK WILLIAM STOWERS has 3 Disclosure Event(s).
Date: April 21, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES UNAUTHORIZED TRADING IN REGARDS TO WRAP ACCOUNT. ACTIVITY DATES 11/25/2010-11/25/2010. Damage Amount Requested: $13,250.00
Date: May 24, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION IN REGARDS TO A WRAP ACCOUNT INVESTMENT. ACTIVITY DATES 3/17/2010-03/17/2010. Damage Amount Requested: $20,000.00 Settlement Amount: $16,705.05 Broker Comment: THE FIRM SETTLED THE CUSTOMER COMPLAINT AND CONCLUDED THAT THE MISCOMMUNICATION ABOUT WHAT FUNDS COULD BE OMITTED FROM THE MANAGED ACCOUNT WAS NOT CAUSED BY ANY STATEMENT MADE BY THE FINANCIAL ADVISOR.
Date: October 10, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES REP PROVIDED POOR ADVICE RELATING TO A MUTUAL FUND. Damage Amount Requested: $14,000.00 Settlement Amount: $17,910.45 Broker Comment: TRADE CANCELLED- NO LOSS TO CUSTOMER. LOSS TO FIRM WAS $17,910.45
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