Our Staff has compiled our research into a database of FINRA Broker Allegations for John Richard Carlson.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| John Richard Carlson | 3098410 | 19 | 10/18/2021 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 02/25/2019 | Customer Dispute | Award / Judgment | $445,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 11/09/2015 | Customer Dispute | Settled | $2,160,500.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 04/05/2011 | Customer Dispute | Settled | $330,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 04/04/2011 | Customer Dispute | Settled | $585,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 12/16/2010 | Customer Dispute | Settled | $80,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 11/11/2010 | Customer Dispute | Settled | $210,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 09/28/2010 | Customer Dispute | Settled | $430,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 09/24/2010 | Customer Dispute | Settled | $2,200,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 09/17/2010 | Customer Dispute | Settled | $577,000.00 | $0.00 | See Allegations |