VICTIM INFO: Losses with MICHAEL BARRY CARTER of McLean, VA
Michael Barry Carter, formerly with Morgan Stanley, Barred from Securities Industry
Have you lost money with financial advisor Michael Barry Carter from McLean, Virginia? The Law Firm of Israels & Neuman is looking into allegations made by FINRA (the Financial Industry Regulatory Authority) against Michael Barry Carter also known as Mike Carter. FINRA barred Carter from the securities industry after he failed to respond to an investigation. Carter was being investigated regarding allegations that he misappropriated client funds.
Michael Barry Carter (Mike Carter) was a registered representative and financial advisor with Morgan Stanley from December 2011 to August 2019. He worked out of a branch office in McLean, Virginia.
Broker-dealers like Morgan Stanley have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives. Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations. When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Virginia. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past, including Morgan Stanley.
Click to view: Carter, Michael Barry FINRA AWC
Click to view: Carter, Michael Barry BrokerCheck 9.10.19
If you have lost money with Michael Barry Carter and Morgan Stanley, and want to hear about ALL legal options, please CONTACT ISRAELS & NEUMAN at 720-599-3505.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.