ROBERT LEON CARLISLE

ROBERT LEON CARLISLE is currently employed as a Broker and/or Investment Adviser at J.J.B. HILLIARD, W.L. LYONS, LLC located at 5100 POPLAR AVE. CLARK TOWER-SUITE 2000, MEMPHIS, TN, 38137.

ROBERT LEON CARLISLE has worked at J.J.B. HILLIARD, W.L. LYONS, LLC since June 26, 1987

Disclosure History

ROBERT LEON CARLISLE has 1 Disclosure Event(s).

Date: November 02, 2001
Category: Customer Dispute
Allegations: THE ACCOUNTANT FOR CUSTOMER STATED IN A LETTER THAT A SHARES WERE SOLD WITHOUT ANY CONSIDERATION T RELEVANT TAX CONSEQUENCES.
Damage Amount Requested: $18,030.00

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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