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Jeff Carlton Fired by UBS Financial Services

Jeff Carlton (CRD #: 1132967), a broker registered with Aegis Capital Corp., was recently terminated by UBS Financial Services. This is according to his BrokerCheck record, accessed on February 12, 2024. Keep reading if you have questions regarding his alleged conduct. 

On December 14, 2023, UBS Financial Services fired Jeff Carlton following allegations that he violated firm policy by soliciting leveraged exchange-traded funds (ETFs) and mismarking trades as unsolicited when they were, in fact, solicited. Firms require brokers to mark their trades as either solicited or unsolicited. Solicited trades are trades that brokers recommend to their investors and need to be reviewed by their brokerage firms. 

Leveraged securities are riskier since they purchase securities with borrowed money. 

Previous Investor Disputes

Investors should know that he has seven investor disputes on his record. Six of these disputes settled for six figures. 

The most recent, dated February 23, 2017, alleges that Jeff Carlton engaged in excessive trading. This dispute settled for $657,998.24. 

Background Information 

Jeff Carlton has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination
  • Series 31 Futures Managed Funds Examination  
  • Series 3 National Commodity Futures Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in D.C., Florida and Texas. He is also a registered investment adviser in Florida and Texas. 

Jeff Carlton has registered with the following firms since 1991. They are listed starting from the most recent: 

  • Aegis Capital Corp (CRD #: 15007) 
  • UBS Financial Services (CRD #: 8174) 
  • CitiGroup Global Markets (CRD #: 7059) 
  • Lehman Brothers (CRD #: 7506) 

Kurta Law Can Help 

If you have worked with Jeff Carlton and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.