Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 11, 2018 indicate that Texas-based Merrill Lynch broker/adviser Erik Littlejohn has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Littlejohn (CRD# 1910841).
Erik Littlejohn has spent 29 years in the securities industry and has been registered with Merrill Lynch in Houston, Texas since 2015. Previous registrations include UBS Financial Services in Houston, Texas (2009-2015); Morgan Stanley Smith Barney in Houston, Texas (2009); Morgan Stanley & Company in Houston, Texas (2007-2009); Morgan Stanley DW in Houston, Texas (2004-2007); Citigroup Global Markets in New York, New York (1993-2004); and Lehman Brothers in New York, New York (1989-1993). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 27, 1989; Series 3 (National Commodity Futures Examination), which he obtained on February 27, 1989; Series 7 (General Securities Representative Examination), which he obtained on January 21, 1989. He is a registered broker and investment adviser with 14 US states: Arizona, California, Colorado, Delaware, Florida, Louisiana, Missouri, Nevada, New York, Rhode Island, Tennessee, Texas, Virginia, and Washington.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.
In January 2018 a party of customers alleged Erik Littlejohn, while employed at UBS Financial Services, recommended risky, concentrated investments in the energy sector and did not adequately warn them about the associated risks. The customers are seeking $499,999 in damages in the pending complaint.
In 1995 a customer alleged Erik Littlejohn, while employed at Salomon Smith Barney, churned investments, executed unauthorized trades, and made unsuitable investment recommendations. The complaint resulted in an award to the customer of $128,908.
If you or someone you know has lost money investing with Erik Littlejohn, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.