William Carter Allegedly Failed to Execute Liquidation Request Promptly

William Carter (CRD #: 2788976), a broker registered with Ameriprise Financial Services, is the subject of a pending dispute, according to his BrokerCheck record, accessed on August 7, 2022. If you want to know more about his conduct as a broker, read on.

Investor Dispute

On May 19, 2022, multiple investors filed a dispute alleging that William Carter failed to promptly execute their request to liquidate their portfolio, including their advisory accounts, leading to market losses. This dispute is pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

William Carter has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination
• Series 10 – General Securities Sales Supervisor – General Module Examination
• Series 9 – General Securities Sales Supervisor – Options Module Examination
• Series 24 – General Securities Principal Examination

William Carter is a registered broker in 19 states and the District of Columbia. He is also a registered investment adviser in Delaware and Texas.

He has also worked for IDS Life Insurance Company (CRD#:6321).

Kurta Law Can Help

If you worked with William Carter and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

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 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.