INVESTORS: LPL Financial broker Steven Michael Richardson was named in a customer dispute alleging excessive trading.
Steven Michael Richardson (CRD:1819383) is registered as a broker and investment adviser with LPL Financial, where he’s been employed since 2020. Richardson was previously registered as a broker with Merrill Lynch from 1988 until 2018.
Richardson has two disclosures on his BrokerCheck report. One customer dispute was closed with no action taken.
April 2019 Customer Dispute
- Status: Settled
- Allegations: The Attorney for the customer alleges excessive trading between January 1, 2010 until June 7, 2018.
- Settlement Amount: $320,000.00
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The Sonn Law Group is currently investigating allegations surrounding Steven Michael Richardson. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.