KEITH ANTONIO CARTER at SECURITIES CAPITAL CORPORATION – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

 

 

CRD# 2723422

Disclosure #1 for KEITH CARTER

    • 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!


BrokerAudit.com helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.


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?

Yes. There are disclosures, allegations, or complaints filed against KEITH ANTONIO CARTER. Click here to view all details

Where can I download a detailed FINRA report for KEITH CARTER?

Click here to 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

 


 

The views and opinions expressed in these articles are those of the source BROKERAUDIT.COM and do not necessarily reflect the official position of ‘Dr. Ronald Ashburn,’ which shall not be held liable for any inaccuracies presented. The information provided within this article is for general informational purposes only. While we try to keep the information up-to-date and correct, there are no representations or warranties, express or implied, about the completeness, accuracy, reliability, suitability or availability of the information in this article for any purpose.

This article is syndicated automatically through a third-party agency from BROKERAUDIT.COM.

To view the original article at BROKERAUDIT.COM, you can visit https://www.brokeraudit.com/keith-antonio-carter-securities-capital-corporation/.

 

Written by

Leave a reply

Your email address will not be published. Required fields are marked *