Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Carter (Carter), currently associated with Cetera Advisor Networks 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 $550,000.00 on September 26, 2023.
Claimant alleges, inter alia, breach of fiduciary duty with respect to the lack of detection of the alleged outside fraud perpetuated against the client.