RedFlag, Allegation and/or Complaint against LOIS EDITH CARLSON
Disclosure #1 for LOIS CARLSON
-
- Event Date: 7/22/2009
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: TIME FRAME: MARCH 9, 2009 THE CLIENT ALLEGES THAT HIS FINANCIAL ADVISOR FAILED TO LIQUIDATE HIS CD AS REQUESTED WHICH RESULTED IN HIS INABILITY TO PURCHASE A NEW EQUITY POSITION AT THAT TIME. THE ALLEGED DAMAGES ARE ESTIMATED TO BE IN EXCESS OF $5,000.
- Damage Amount Requested: $5,000.00
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like LOIS EDITH CARLSON?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Frequently Asked Questions About LOIS EDITH CARLSON
What is LOIS CARLSON's Central Registration Depository (CRD) Number?
Which firm is LOIS EDITH CARLSON associated with?
Where is LOIS CARLSON located?
Where can I find more details about LOIS CARLSON's Investment Firm?
Are there any disclosures, allegations or complaints filed against LOIS EDITH CARLSON?
Where can I download a detailed FINRA report for LOIS CARLSON?
Is it safe to do business with LOIS EDITH CARLSON?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.
Originally reported on November 17, 2022 @ 9:01 pm
