JOHN CARLTON WILLIAMS is currently employed as a Broker and/or Investment Adviser at WADDELL & REED located at 55 MADISON ST, SUITE 500, DENVER, CO, 80206.
JOHN CARLTON WILLIAMS has worked at WADDELL & REED since March 15, 2012
Disclosure History
JOHN CARLTON WILLIAMS has 2 Disclosure Event(s).
Date: April 01, 2011 Category: Financial Type: Bankruptcy Disposition: Discharged
Date: March 08, 1989 Category: Customer Dispute Allegations: THE ALLEGATIONS INVOLVED MISREPRESENTATIONAND NEGLIGENCE. THE LOSSES CLAIMED WERE $80,000. Damage Amount Requested: $82,000.00 Damages Granted: $57,293.68 Broker Comment: CLAIMANT WAS AWARDED $57,293.68 TO BE PAYEDJOINTLY BY SHEARSON LEHMAN HUTTON AND JOHN C. WILLIAMS. AMOUNTSTO BE DETERMINED.THIS MATTER WAS FILED WITH THE NATIONALASSOCIATION OF SECURITIES DEALERS, INC. CLAIMING LOSSES OF$82,000.00. THE ALLEGATIONS INVOLVED MISREPRESENTATION ANDNEGLIGENCE. HEARINGS WERE HELD IN DENVER ON APRIL 19 AND 20,1990. CLAIMANT WAS AWARDED $57,293.68.
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