Securities Lawyers Blog
When FINRA brings a disciplinary action against a brokerage firm, the findings frequently describe supervisory failures, unsuitable investment recommendations, or sales practice violations that affected many customers at once. The FINRA actions described below involve Carter, Terry & Company, Inc. The FINRA arbitration lawyers at Gana Weinstein LLP represent investors in FINRA customer disputes against brokerage firms, and a firm’s regulatory record is often important evidence in those claims. Our attorneys can determine whether your investment losses are connected to the conduct FINRA identified.
Carter, Terry & Company is a full-service broker-dealer and investment adviser providing brokerage and managed investment accounts, financial planning for retirement, college savings, and estates, and investment banking and capital raising for small to mid-sized private and public companies. Founded in Georgia in 1985 and headquartered on Peachtree Road in Atlanta, the firm serves individuals and businesses across the country and has been ranked among Atlanta’s top brokerage firms by the Atlanta Business Chronicle.
Carter, Terry & Company, Inc. – By the Numbers: