MARK CARTER Has An Investor Complaint – Goodman & Nekvasil, P.A. May Recover Investor Losses
Former PRUCO SECURITIES, LLC. financial advisor, MARK CARTER has an investor complaint.
UPDATE: 11/21/25 – FINRA SUSPENDS CARTER
According to FINRA: From January through December 2023, while associated with Pruco Securities, Carter recommended that two retail customers, a married couple, engage in options trading that was not in their best interest or suitable for them. As a result, Carter willfully violated Rule 15l-1(a)(1) of the Securities Exchange Act of 1934 and violated FINRA Rules 2360(b)(19)(A) and 2010.
MARK ALLEN CARTER (CRD#: 6387371), a formerly registered broker for PRUCO SECURITIES, LLC. in Charlotte, NC, has a pending investor complaint. According to Carter’s FINRA BrokerCheck report, Customer Alleges the rep engaged in unauthorized trading in several retirement accounts.
The claimant is requesting $500,000.00 for alleged damages.
PRUCO SECURITIES accepted Carter’s resignation before the customer complained.
Mark Carter Has a Pending 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 4/24/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.