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Burton Carter Involved in Investor Dispute Alleging Negligence

Burton Carter (CRD #: 1085739), a broker registered with J.W. Cole Financial, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on March 26, 2022. 

According to the allegations filed on December 21, 2021, Burton Carter was negligent when assisting his client’s conservators in liquidating her account. The investor is seeking $101,544.

Stockbroker negligence is a huge problem that costs investors billions of dollars every year. It occurs when a broker’s conduct falls below industry standards designed to protect investors. If you believe your stockbroker or financial advisor engaged in negligence, you could recover your losses through FINRA arbitration. 

Background Information

Burton Carter has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

He is a registered broker in Arizona, Nevada, and California.

Besides J.W. Cole Financial, Burton Carter has also worked with the following firms:

  • Jonathan Roberts Financial Group (CRD#:46285
  • 1st Global Capital Corp (CRD#:30349)
  • Five Star Resources  (CRD#:30414)
  • H.D. Vest Investment Securities (CRD#:13686)
  • Triple Check Financial Services (CRD#:13344)
  • Private Ledger Financial Services, Incorporated (CRD#:6413)

Kurta Law Can Help

If you have worked with Burton Carter and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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