DONALD SPIVEY – Former CARTER, TERRY & COMPANY, INC. Broker Barred by FINRA – May Recover Investor Losses
Former CARTER, TERRY & COMPANY, INC. Broker, DONALD SPIVEY Barred by FINRA.
CRD#: 847360
DONALD FRANKLIN SPIVEY (CRD#: 847360), a previously employed broker for CARTER, TERRY & COMPANY, INC. in CAMDEN, SC, consented to a a bar from associating with any FINRA member in all capacities.
According to FINRA, Although Spivey initially cooperated with FINRA’s investigation, he ceased doing so in July 2025. Specifically, on July 11, 2025, in connection with an investigation into
whether certain recommendations were suitable for or in the best interests of retail customers, FINRA requested, pursuant to FINRA Rule 8210, that Spivey appear for onthe-record testimony. As stated in an email sent by Spivey’s counsel on July 16, 2025, and by this agreement, Spivey acknowledges that he received FINRA’s request and will not appear for the requested on-the-record testimony at any time. By refusing to appear for on-the-record testimony as requested pursuant to FINRA Rule 8210, Spivey violated FINRA Rules 8210 and 2010.
Spivey consented to a bar from associating with any FINRA member in all capacities.
DONALD SPIVEY – Former CARTER, TERRY & COMPANY, INC. Broker Barred by FINRA – May Recover Investor Losses
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $500 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 7/22/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.