Shakela Carter Barred from Securities Industry and Resigned from Merrill Lynch – Goodman & Nekvasil P.A., May Recover Investor Losses
Shakela Carter was licensed with Merrill Lynch from 2009 to 2016. FINRA reports that Shakela Carter resigned from Merrill Lynch on February 8, 2016. Merrill Lynch reported to FINRA that Shakela Carter allegedly participated in clients’ outside business activities.
Shakela Carter was barred from the securities and investment banking industry on July 30, 2018. FINRA reports that the sanction was based on findings that Shakela Carter failed to appear and provide FINRA on-the-record testimony during the course of an investigation into conduct describe in Forms U5 filed by her former member firm regarding allegations of fraudulent activity, misconduct involving customers, and outside business activities.
If you lost any money on investments with Shakela Carter, you may be able to recover your losses from Merrill Lynch. This is because Merrill Lynch had a duty to supervise Shakela Carter.
If you lost money on investments with Shakela 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 against Merrill Lynch concerning Shakela 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 $180 million on behalf of victimized investors. If you lost money on investments with Shakela 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.