Ken Carter: Investor Complaint Regarding Unauthorized Trades

Ken CarterPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 19, 2018 indicate that Washington-based RBC Capital Markets broker/adviser Ken Carter is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carter (CRD# 1351802).

Ken Carter has spent thirty-three years in the securities industry and has been registered with RBC Capital Markets in Seattle, Washington since 1998. Previous registrations include Piper Jaffray in Minneapolis, Minnesota (1987-1998); National Securities Corporation (1986-1987); and First Investors Corporation (1985-1986). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 26, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 5, 1985; Series 31 (Futures Managed Funds Examination), which he obtained on May 5, 2003; Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 2, 1985. He is a registered broker and investment adviser with 30 US states and territories, and with ten self-regulatory organizations (SROs): BOX Options Exchange, Cboe Exchange, FINRA, NYSE American, NYSE Arca, Nasdaq BX, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

In April 2018 a customer alleged Ken Carter, while employed at RBC Capital Markets, participated in unauthorized and unsuitable trading in the customer’s accounts between December 2014 and March 2015. The customer is seeking $350,000 in damages in the pending complaint.

If you or someone you know has lost money investing with Ken Carter, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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