Were you the victim of investment losses due to recommendations by LPL Financial LLC broker Steven Bergmann (CRD# 1525281)? He has been registered with LPL Financial LLC in St. Charles, Illinois, since 2003.
Steven Bergmann Customer Complaints
He has been the subject of two customer complaints between 2005 and 2024, according to his CRD report:
May 2024. “Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.” The case is currently pending. The complaint was regarding real estate security loss options.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, LPL Financial LLC may be liable for investment or other losses suffered by Steven Bergmann’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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