MICHAEL JOSHUA CARLIN is currently employed as a Broker and/or Investment Adviser at INDEPENDENT FINANCIAL GROUP, LLC located at 7098 E. COCHISE ROAD, SUITE 222, STE 222, SCOTTSDALE, AZ, 85253.
MICHAEL JOSHUA CARLIN has worked at INDEPENDENT FINANCIAL GROUP, LLC since February 27, 2006
Disclosure History
MICHAEL JOSHUA CARLIN has 1 Disclosure Event(s).
Date: June 18, 2012 Category: Customer Dispute Allegations: COMPLAINT LETTER ALLEGED UNSUITABLE RECOMMENDATION OF A MONEY MANAGER AND CLAIMED LOSSES OF $35000. Damage Amount Requested: $35,087.06 Settlement Amount: $13,500.00 Broker Comment: FIRM AND REGISTRANT DENIED ALL ALLEGATIONS AND DAMAGES. NO EVIDENCE OF REALIZED LOSSES COULD BE ATTRIBUTED TO THE REGISTRANT OR MONEY MANAGER IN QUESTION. THE COMPLAINT WAS DENIED IN JULY 2012. IN SEPTEMBER 2012, THE FIRM RECEIVED NOTICE OF SIMPLIFIED ARBITRATION SEEKING $23,000 IN DAMAGES. REGISTRANT DENIES ALL ALLEGATIONS AND WILL DEFEND THE TRANSACTIONS. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE PARTIES SETTLED THE MATTER TO AVOID FURTHER TIME SPENT AND COSTS ASSOCIATED WITH THIS DISPUTE.
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