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 | 06/11/2010 | Customer Dispute | Settled | $200,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 06/01/2010 | Customer Dispute | Settled | $489,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 05/17/2010 | Customer Dispute | Settled | $300,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 03/22/2010 | Customer Dispute | Settled | $290,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 03/04/2010 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 02/16/2010 | Customer Dispute | Settled | $850,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 11/30/2009 | Customer Dispute | Settled | $5,197,000.00 | $0.00 | See Allegations |
| John Richard Carlson | 3098410 | 19 | 11/23/2009 | Customer Dispute | Settled | $2,050,000.00 | $0.00 | See Allegations |