RedFlag, Allegation and/or Complaint against KEITH ANTONIO CARTER
Disclosure #1 for KEITH CARTER
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- Event Date: 2/13/1998
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: AL
- Allegations: ON FEBRUARY 13, 1996, A CEASE AND DESIST ORDER ALLEGING SECURITIES TRANSACTIONS WITHOUT BENEFIT OF REGISTRATION AND FAILURE TO PROPERLY SUPERVISE AGENTS WAS ISSUED TO SECURITIES CAPITAL CORPORATION, MICHAEL ANGELO JONES, JUANITA SMITH JONES, KEITH ANTONIO CARTER AND GREGORY LAMAR CLARK AFTER RECEIPT OF INFORMATION NASDR THAT DURING AN AUDIT OF THE DEALER, IT WAS DETERMINED THAT CARTER AND CLARK HAD EFFECTED A TOTAL OF 31 TRANSACTIONS IN THE ACCOUNTS OF 13 ALABAMA RESIDENTS AND ON APRIL 7, 1998 THE CEASE AND DESIST ORDER WAS RESOLVED BY CONSENT ORDER.
- Resolution: Order
- Sanction Details :: Sanctions: Cease and Desist/Injunction
- Sanction Details: ON APRIL 7, 1998 THE CEASE AND DESIST ORDER WAS RESOLVED BY CONSENT ORDER.
- Broker Comment: ON 8/6/98 A PAGE 1 OF THE U4 WAS SUBMITTED TO TEAM 4 AT CRD, THIS PAGE 1 REQUESTED 63 EXAMINATION AND AN ALABAMA REGISTRATION I WAS ALSO INSTRUCTED TO SEND A CHECK IN THE AMOUNT OF $130 MADE PAYABLE TO THE NASD. I SUBMITTED THIS CHECK AMOUNT. HOWEVER, RECENTLY FOUND THAT THE EXAN REQUEST WENT IN AND WAS SUCCESSFULLY COMPLETED. HOWEVER, THE ALABAMA REGISTRATION REQUEST WAS NOT IN PUT. I FOUND THIS ACCT UNDER RESEARCH ID # 308301 THE SEARCH FINDING SHOWED THE REQUEST FOR ALABAMA AND THE SERIES 63.
Should I file a FINRA complaint against brokers like KEITH ANTONIO CARTER?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally reported on November 17, 2022 @ 8:39 pm
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