Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2018 indicate that North Carolina-based UBS Financial Services broker/adviser James Carlson has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carlson (CRD# 4134811).
James Carlson has spent 17 years in the securities industry and has been registered with UBS Financial Services in Greensboro, North Carolina since 2011. Previous registrations include Morgan Stanley Smith Barney in Greensboro, North Carolina (2009-2011); Morgan Stanley & Company in Greensboro, North Carolina (2007-2009); and Morgan Stanley DW in Greensboro, North Carolina (2000-2007). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on December 20, 2000; Series 31 (Futures Managed Funds Examination), which he obtained on February 5, 2003; and Series 7 (General Securities Representative Examination), which he obtained on October 23, 2000. He is a registered broker and investment adviser with 24 US states and territories: California, Colorado, Delaware, the District of Columbia, Florida, Georgia, Kansas, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, New Jersey, New York, North Carolina, Oklahoma, Pennsylvania, South Carolina, Tennessee, Utah, the Virgin Islands, West Virginia and Wyoming.
According to his BrokerCheck report, he has received one FINRA sanction.
In January 2018 FINRA sanctioned him following allegations he effected discretionary trades in customer accounts without first obtaining those customers’ prior written authorization and additionally without his firm’s acceptance of the accounts as discretionary. He was issued a fine of $5,000 and a 15-day suspension set to commence on February 5, 2018.
If you have lost money investing with or have other complaints regarding James Carlson, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means that Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.