KATHERINE CARTER Has An Investor Complaint  – May Recover Investor Losses

KATHERINE CARTER Has An Investor Complaint  – Goodman & Nekvasil, P.A. May Recover Investor Losses

 

AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC. financial adviser, KATHERINE CARTER has an investor complaint.

KATHERINE CHARLENE CARTER
KATHERINE C CARTER
CRD#: 2224156

Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.

KATHERINE CHARLENE CARTER (CRD#: 2224156), a registered representative for AMERICAN CENTURY INVESTMENT SERVICES INC. in Kansas City, MO has an investor complaint.  According to Carter’s FINRA BrokerCheck report, These are the factual allegations from the Customer’s Statement of Claim submitted to Arbitration: On June 25, 2021, Customer made a significant investment in a company called Alfi through his TOD account with the Firm. That day, Customer also had a lengthy discussion with Representative Carter and alleges that he decided not to purchase any additional Alfi stock in his IRA because Alfi stock was already up 40% that trading day. Representative Carter said that she would call Customer if anything changed with the price of the stock. Allegedly without authorization, Representative Carter purchased more than $700,000 worth of Alfi at $18.49 in Customer’s IRA. Representative Carter never called Customer regarding the purchase. Shortly after the purchase, Customer was in a significant motorcycle accident requiring months of recovery, and, it wasn’t until after Alfi collapsed that Customer allegedly learned of the purchase.
The complainant has requested $700,000.00 for alleged damages.
KATHERINE CHARLENE CARTERKATHERINE C CARTER
CRD#: 2224156

Katherine C Carter has an investor complaint.

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 $400 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 7/09/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.

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