STEVEN NELSE CARLSON is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 100 MORGAN KEEGAN DRIVE, SUITES 200 & 400, LITTLE ROCK, AR, 72202.
STEVEN NELSE CARLSON has worked at RAYMOND JAMES & ASSOCIATES, INC. since October 09, 2012
Disclosure History
STEVEN NELSE CARLSON has 2 Disclosure Event(s).
Date: March 22, 2010 Category: Customer Dispute Allegations: CLAIM ALLEGES MISREPRESENTATION AND UNSUITABLILITY WITH REGARD TO MUTUAL FUNDS PURCHASED IN 2005 AND 2006. Damage Amount Requested: $40,000.00 Settlement Amount: $8,500.00 Broker Comment: AS OF 3/22/2012 THIS ITEM IS NO LONGER REPORTABLE.***
Date: December 05, 2005 Category: Customer Dispute Allegations: CLAIM ALLEGES POOR PERFORMANCE, UNSUITABILITY AND MISREPRESENTATION REGARDING THE PURCHASE OF PREFERRED STOCKS INCLUDING ENRON, MIDWEST DISPOSAL OF INDIANA, ET AL. Damage Amount Requested: $300,000.00 Broker Comment: AS OF 7/10/2006 THIS ITEM IS CLOSED DUE TO NO ACTION.AS OF 12/05/2007, THIS ITEM IS NO LONGER REPORTABLE.
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