Keith Carter Allegedly Misrepresented Investment
Keith Carter (CRD #: 4703579), a broker registered with Raymond James Financial Services, was recently involved in an investment dispute, according to his BrokerCheck record, accessed on October 21, 2024. Investors may have also worked with him through Raymond James Financial Services Advisors. Keep reading to learn more about his alleged conduct as a broker.
Denied Dispute
On August 29, 2024, an investor filed a dispute alleging that Keith Carter misrepresented an investment product. This dispute was denied by the firm.
Investors should be aware, however, that firms can deny disputes without an external review. It’s still possible to recover damages following a denial and investors may want to pursue FINRA arbitration.
FINRA Rule 2020
FINRA Rule 2020 prohibits the use of manipulative, deceptive, or otherwise fraudulent tactics to influence investor’s trading decisions. Misrepresenting an investment’s fees, requirements, or other material facts violates this rule.
Background Information
Keith Carter has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
- Series 24 – General Securities Principal Examination
Keith Carter is a registered broker in 11 states and a registered investment adviser in Oklahoma.
He has also worked for the following firms:
- Arvest Wealth Management (CRD#:42057)
- Cetera Investment Advisers (CRD#:105644)
- Cetera Investment Services (CRD#:15340)
- Money Concepts Capital Corporation (CRD#:12963)
Kurta Law Can Help
If you worked with Keith Carter and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.Keith Carter
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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.