Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Carter (Carter), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Carter recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on April 04, 2024.
Customer alleges the rep engaged in unauthorized trading from around April to December of 2023. Allegation/complaint is the result of advisor’s self-disclosure of these trades to the firm and client several months prior.
