Our Staff has compiled our research into a database of FINRA Disclosures for William Jeffrey Carlton. Search or filter the database to find more about this broker.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| William Jeffrey Carlton | 1132967 | 11 | 06/28/2024 | Customer Dispute | Settled | $1,033,820.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 12/14/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Jeffrey Carlton | 1132967 | 11 | 10/27/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Jeffrey Carlton | 1132967 | 11 | 04/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Jeffrey Carlton | 1132967 | 11 | 02/23/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 11/10/2016 | Customer Dispute | Settled | $525,000.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 10/21/2015 | Customer Dispute | Settled | $1,264,360.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 01/21/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 03/07/2014 | Customer Dispute | Settled | $311,287.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 01/28/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |