William Carlton has spent 32 years in the securities industry and has been registered with UBS Financial Services in Vienna, Virginia since 2007. Previous registrations include Citigroup Global Markets in McLean, Virginia (1993-2007); Lehman Brothers in New York, New York (1991-1993); Dean Witter Reynolds, New York (1989-1991); Wheat First Securities (1984-1987); and San Diego Securities (1983-1984). He is a registered broker and investment adviser in 28 US states and territories.
According to his BrokerCheck report, William Carlton is the subject of four customer complaints, one pending customer complaint, and two judgments or liens.
In 2015 a customer alleged William Carlton, while employed at UBS Financial Services, recommended unsuitable investments and concentrated the account in real estate limited partnerships and oil and gas interests. The complaint settled for $28,000.
In 2015 a customer alleged William Carlton, while employed at UBS Financial Services, recommended unsuitable and concentrated positions in mutual funds, exchange traded funds (ETFs), and equity investments. The customer is seeking $1,264,355 in damages in the pending complaint.
In 2014 a customer alleged William Carlton, while employed at UBS Financial Services, recommended unsuitable investments and failed to fully explain or disclose risks associated with an investment in exchange-traded notes (ETNs). The complaint settled for $185,000.
In 2013 a customer filed a complaint against William Carlton, while he was employed at UBS Financial Services, alleging that her 67% equity portfolio was “totally out of line.” The complaint settled for $187,000.
In 2012 a customer alleged William Carlton, while employed at UBS Financial Services, breached his fiduciary duty, breached contract, misrepresented material facts, failed to supervise, churned the account, acted negligently, and recommended unsuitable investments in mutual funds and ETFs. The complaint settled in 2015 for $130,000.
If you have lost money investing with William Carlton, you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. Fitapelli Kurta takes every case on a contingency basis, which means Fitapelli Kurta only gets paid if and when you collect money. By law there may be a limited window to file your claim, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free