Securities Fraud

The Securities and Exchange Commission claims in a federal <strong><a href="http://courthousenews.com/wp-content/uploads/2017/02/CarlsonSEC.pdf">lawsuit</a></strong> that a former investment adviser representative misappropriated over $900,000 from a client by lying about withdrawal requests and forging the client’s signature on forms and checks.

CHICAGO – The Securities and Exchange Commission claims in a federal lawsuit that a former investment adviser representative misappropriated over $900,000 from a client by lying about withdrawal requests and forging the client’s signature on forms and checks.

The defendant is William P. Carlson Jr., 53, of Deerfield, Ill.

Categories / Securities

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