Mike Carter – Financial Advisor/Broker Mike Carter Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Mike Carter a/k/a Mike Barry Carter was a formerly licensed financial advisor/broker with Morgan Stanley. According to FINRA, Mike Carter was barred from the securities industry in September 2019.
According to FINRA: Mike Carter consented to the sanction and to the entry of findings that Mike Carter failed to provide documents and information requested by FINRA during the course of an investigation initiated after FINRA received an external tip relating to allegations of misconduct that were ultimately contained in a Form U5 filed by his member firm.
According to Mike Carter’s CRD, Mike Carter was discharged from Morgan Stanley in July 2019. Morgan Stanley reported that Mike Carter was terminated after allegations that Mike Carter misappropriated client funds.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Mike Carter and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Mike Carter’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Mike Carter and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.