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The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
CLAIMANTS ALLEGE THAT MR. CARLSON FAILED TO PROPERLY SUPERVSIE THE SUITABILITY OF THE INVESTMENT RECOMMNEDATIONS MADE BY A FINANCIAL ADVISOR WORKING IN MR. CARLSON'S BRANCH OFFICE.
Damage Amount Requested
$400,000.00
Settlement Amount
$160,000.00
Broker Comment
MR. CARLSON CONTINUES TO BELIEVE THAT HE ACTED PROPERLY AND APPROPRIATELY AND FULLY DISCHARGED HIS SUPERVISORY RESPONSIBILITIES WITH REGARD TO THE INDIVIDUAL AND TIME PERIOD IN QUESTION. MOREOVER, MR. CARLSON WAS NOT ASKED TO, NOR DID HE CONTRIBUTE TO, THE SETTLEMENT OF THIS MATTER.
License(s)
The broker is not currently registered with any state or SRO.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.