Our Staff has compiled our research into a database of FINRA Broker Disclosures for . Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| John Richard Carlson | 3098410 | 19 | 11/09/2015 | Customer Dispute | Settled | $2,160,500.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 04/05/2011 | Customer Dispute | Settled | $330,000.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 04/04/2011 | Customer Dispute | Settled | $585,000.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 12/16/2010 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 11/11/2010 | Customer Dispute | Settled | $210,000.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 09/28/2010 | Customer Dispute | Settled | $430,000.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 09/24/2010 | Customer Dispute | Settled | $2,200,000.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 09/17/2010 | Customer Dispute | Settled | $577,000.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 06/11/2010 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 06/01/2010 | Customer Dispute | Settled | $489,000.00 | $0.00 | See FINRA Report |