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Richard Carlson Fired Following Allegations Concerning Confidential Customer Information

Richard Carlson (CRD #: 7825690) has been terminated by W&S Brokerage Services. This is according to his BrokerCheck record, accessed on September 10, 2024. Details concerning this disclosure are provided below. 

Employment Separation After Allegations 

On May 28, 2024, W&S Brokerage Services fired Richard Carlson following allegations regarding his handling of confidential customer information. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Mishandling of confidential customer information may violate this rule. 

Background Information 

Richard Carlson has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 6TO Investment Company Products/Variable Contracts Representative Examination 
  • SIE – Securities Industry Essentials Examination 

Kurta Law Can Help 

If you worked with Richard Carlson and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com 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.

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