BRANDON R CARTER
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brandon R. Carter (CRD No. 5678495) Respondent. Disciplinary Proceeding No. 2012032932101 Hearing Officer: Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 3, 2014 INTRODUCTION Disciplinary Proceeding No. 2012032932101 was filed on December 30, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
12/30/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant v. Brandon R. Carter (CRD No. 5678495), Respondent. DISCIPLINARY PROCEEDING No. 2012032932101 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On March 3, 2012, while working as a registered personal banker at JP Morgan Chase Bank ("Chase Bank") and Chase Investment Services Corp. ("CISC" or "the Firm), Brandon R. Carter ("Carter")
Reference 2012032932101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5678495 |
Other names1
Also known as1
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