North Dakota Files Regulatory Action Against Jeremy Carlson
Jeremy Carlson (CRD #: 4465093), a broker registered with Gardner Financial Services, is the subject of a pending state regulatory action, according to his BrokerCheck record, accessed on October 23, 2022. If you have questions about his conduct as a broker, keep reading.
Action by State of North Dakota
On July 18, 2022, the North Dakota Securities Department initiated a regulatory action alleging that Jeremy Carlson committed multiple violations of the Securities Act of 1951, including fraud, violation of custody prohibition, acting as an unregistered agent, and engaging in unlawful conduct as an investment adviser.
This regulatory action is currently pending.
The Securities Act of 1951
The Securities Act of 1951 regulates the securities business in the state. Its subsections define securities, registration requirements, prohibited conduct, fraudulent practices, and more.
Blue Sky Laws
Blue sky laws like the Securities Act of 1951 are state-level securities regulations that give investors an additional layer of protection against investment fraud.
Jeremy Carlson has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- Series 7 – General Securities Representative Examination
He previously worked for Gardner Financial Services (CRD#:21000) and AXA Advisors (CRD#:6627).
Kurta Law Can Help
If you worked with Jeremy Carlson and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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 and 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.