DID JOHN RICHARD CARLSON CAUSE YOU INVESTMENT LOSSES?
John Carlson Formerly With Capital Financial Services, Inc. Has 17 Customer Complaints For Alleged Broker Misconduct
Who is John Carlson of Capital Financial Services, Inc.?
John Carlson (CRD #3098410) who was formerly registered with Capital Financial Services, Inc. and located in Minot, North Dakota, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Capital Financial Services, Inc., John Carlson was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
John Carlson Customer Complaints
John Carlson has been the subject of 17 customer complaints that we know about to recover investment losses. One customer complaint proceeded to arbitration resulted in an award in favor of the investor. The other 16 customer complaints were settled by John Carlson’s former employer Capital Financial Services in favor of the investors.
Allegations Against John Carlson
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Unsuitable investment recommendations of direct investments and limited partnership interest.
- Misrepresentation of oil and gas investment.
- Breach of fiduciary duty in connection with direct investments.
- Unsuitable investment recommendations and misrepresentations related to limited partnership interests.
- Unsuitable investment recommendations of oil and gas partnerships.
- Negligence and fraud related to oil and gas partnership investments.
- Violations of Minnesota securities act, violation of Minnesota Prevention of Consumer Fraud Act, and violation of Minnesota Act Preventing Deceptive Acts Against Senior Citizens.
John Carlson Red Flags & Your Rights As An Investor
Of course, John Carlson did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John Carlson at Capital Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether John Carlson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Capital Financial Services, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Capital Financial Services, Inc. Due To John Carlson
If you have questions about Capital Financial Services, Inc. and/or John Carlson and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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