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.
Update – 2022.11.15If you have suffered investment losses that may have been caused by KEITH ANTONIO CARTER’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
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Frequently Asked Questions About KEITH ANTONIO CARTER
What is KEITH CARTER’s Central Registration Depository (CRD) Number?
Which firm is KEITH ANTONIO CARTER associated with?
SECURITIES CAPITAL CORPORATION
Where is KEITH CARTER located?
2107 5TH AVENUE NORTH, SUITE 500, BIRMINGHAM, ALABAMA 35203, AL, 35203
Where can I find more details about KEITH CARTER’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/22892 to read a detailed report for SECURITIES CAPITAL CORPORATION
Are there any disclosures, allegations or complaints filed against KEITH ANTONIO CARTER?
Where can I download a detailed FINRA report for KEITH CARTER?
Is it safe to do business with KEITH ANTONIO CARTER?
We’re not sure. Please research KEITH CARTER’s disclosures, allegations and complaints before taking a decision
Originally reported on November 17, 2022 @ 8:39 pm
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