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Articles Tagged with Mike Carter

After former registered representative Mike Carter (CRD#: 3232017) twice refused to furnish requested documents relating to theft allegations, FINRA barred him from the securities industry, according to Mike Carter’s BrokerCheck report accessed on September 16, 2019. He entered into an Acceptance, Waiver, and Consent (AWC) consenting to the sanctions. Leading up to the bar, FINRA […]

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