Carlton Perry Fletcher, a former stockbroker from New York, New York, previously associated with Dinosaur Financial Group, L.L.C., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity. Letter of Acceptance, Waiver, and Consent (AWC) No. 2024082805201 (January 24, 2025).
According to the AWC, Fletcher refused to provide documents and information requested by FINRA as part of its investigation into allegations that Fletcher filched funds from a customer. For failing to cooperate, he was found in violation of FINRA Rules 8210 and 2010.
Fletcher also has a history of customer disputes. FINRA Public Disclosure shows that on August 7, 2000, a customer initiated investment related arbitration claim (NASD Arbitration No. 00-01551) alleged unauthorized trading, seeking $30,244 in damages. The arbitration panel awarded the customer $10,000 in compensatory damages on December 3, 2001.
Fletcher was associated with Dinosaur Financial Group between January 4, 2010, and April 11, 2024.
