Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Carlson (Carlson), currently associated with Regulus Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carlson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on August 08, 2023.
Claimant alleges lack of supervision by Donald Carlson for registered representatives Sanjay Bhargava and Matthew Schiller in January 2021. Regulus Financial Group finds no fault in Donald Carlson and is pursuing denial of claim in arbitration.