STEVEN ERIC ERICKSON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 201 NE PARK PLAZA DR STE 150, VANCOUVER, WA, 98684-5873.
STEVEN ERIC ERICKSON has worked at LPL FINANCIAL LLC since April 24, 2012
Disclosure History
STEVEN ERIC ERICKSON has 2 Disclosure Event(s).
Date: September 22, 2014 Category: Customer Dispute Allegations: CLIENT ALLEGES, INTER ALIA, THAT BEGINNING IN JUNE 2008 WHEN TRANSFERRING FROM A JOINT TO AN INDIVIDUAL ACCOUNT THE FA MADE UNSUITABLE RECOMMENDATIONS DESPITE THE CLIENT'S CHANGE IN LIFESTYLE. Damage Amount Requested: $400,000.00 Broker Comment: THE PANEL DISMISSED THE CLAIMS WITH PREJUDICE AS A SANCTION FOR CLAIMANT'S WILLFUL AND MATERIAL FAILURE TO COMPLY WITH THE PANEL'S EARLIER ORDER TO COMPEL DISCOVERY.
Date: June 11, 2009 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE THEY WERE MISLED AND THAT INVESTMENTS ARE NOT SUITABLE. NO SPECIFIC DATE(S) PROVIDED.
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