FINRA

RESPONDENT CARSON FAILED TO RESPOND TO FINRA REQUEST FOR INFORMATION

LETTER

Bar (Permanent)

All Capacities

Indefinite

5/10/2013

PURSUANT TO FINRA RULE 9552(H) AND IN ACCORDANCE WITH FINRA'S NOTICE OF SUSPENSION AND SUSPENSION FROM ASSOCIATION LETTERS DATED FEBRUARY 7,2013 AND MARCH 4, 2013, RESPECTIVELY, ON MAY 10, 2013, CARSON IS BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY. RESPONDENT FAILED TO REQUEST TERMINATION OF HIS SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION, THEREFORE, HE IS AUTOMATICALLY BARRED FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY.

VIOLATIONS OF THE PENNY STOCK REFORM ACT OF 1990, THE FLORIDA SECURITIES & INVESTOR PROCTECTION ACT, FRAUD, NEGLIGENCE, BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT IN CONNECTION WITH RECOMMENDATIONS OF SECURITIES.

$50,000.00

$14,433.00

THE ARBITRATION PANEL FOUND IN FAVOR OF RESPONDENTS ON ALL CLAIMS SUBMITTED EXCEMPT FOR THE CLAIM BASED UPON EXCESSIVE TRADING/CHURNING. DAMAGES AWARDED WERE $14,433.00 CLIENT SOUGHT DAMAGES EXCEEDING $50,000 AND WERE SUBSEQUENTLY AWARDED ONLY $14,000. WHILE I UNDERSTAND THAT THE DECISION OF THE ARBITRATORS IS BINDING AND UNABLE TO BE APPEALED, I CONTINUE TO EMPHATICALLY DENY ALL ALLEGATIONS AS STATED ABOVE.