Carlton Fletcher Barred by FINRA for Alleged Refusal to Provide Documents

Carlton Fletcher (CRD #: 2455798), a broker formerly registered with Dinosaur Financial Group, has been barred by FINRA, according to his BrokerCheck record, accessed on February 7, 2025. Keep reading if you want to know more about his alleged conduct as a broker.

Bar by FINRA

On January 24, 2025, Carlton Fletcher consented to the entry of findings that he allegedly refused to provide FINRA with information and documents.

According to a Letter of Acceptance, Waiver & Consent (AWC), FINRA made information requests in connection with an investigation into allegations that he converted the funds of an unspecified individual.

The AWC concluded that the alleged refusal to provide information and documents constitute violations of FINRA Rules 8210 and 2010.

FINRA Rule 8210

FINRA Rule 8210 requires members to supply records, information, and testimony upon request by FINRA.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

Carlton Fletcher was permanently barred by FINRA on January 24, 2025. You can read the full AWC here.

Background Information

Carlton Fletcher has passed the following exams:

• Operations Professional Examination – Series 99TO
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Securities Agent State Law Examination – Series 63

He previously worked for the following firms:

• Dinosaur Financial Group (CRD#:104446)
• McGinn, Smith & Company (CRD#:8453)
• J.P. Turner & Company (CRD#:43177)
• The Regency Group (CRD#:45216)
• R.D. White & Company (CRD#:7011)
• A.S. Goldmen & Company (CRD#:23180)

Kurta Law Can Help

If you worked with Carlton Fletcher and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.