Carter

There are Recent Customer Complaints with Broker Sandy Leff in Firm Carter, Terry & Company, INC.

May 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandy Leff (Leff), currently associated with Carter, Terry & Company, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Leff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 19, 2026.

Suitability, FINRA Rule 2111, Regulation Best Interest\, Client alleges a stock he has owned for over 10 years is not suitable due to the recent decline in the security.

There are Recent Customer Complaints with Broker Bennett Herzfeld in Firm Carter, Terry & Company, INC.

February 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bennett Herzfeld (Herzfeld), previously associated with Carter, Terry & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Herzfeld recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 20, 2021.

Suitability

There are Recent Customer Complaints with Broker Michael Yarus in Firm Carter, Terry & Company, INC.

May 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Yarus (Yarus), previously associated with Carter, Terry & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Yarus 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 $21,401.40 on May 06, 2024.

Customer verbally complained that their financial advisor did not explain the Make Whole feature of the recommended bonds, which were called pursuant to the Make Whole feature, resulting in a loss. (1/26/2021-1/25/2023)

There are Recent Customer Complaints with Broker Brian Adams in Firm Carter, Terry & Company, Inc.

March 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Adams (Adams), currently associated with Carter, Terry & Company, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Adams 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 $54,000.00 on October 29, 2024.

Customer is dissatisfied with the performance of her investment portfolio and investment strategy over the last 4 years.