Shakela Carter
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/02/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SHAKELA CARTER (CRD No. 4321231), Respondent. Disciplinary Proceeding No. 20160492021-01 Hearing Officer - CC DEFAULT DECISION July 2, 2018 Respondent refused to appear for on-the-record testimony after several requests by the Department of Enforcement, in violation of FINRA Rules
01/31/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Shakela Carter (CRD No. 4321231), Respondent. DISCIPLINARY PROCEEDING NO. 20160492021-01 COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. In 2016 Enforcement opened an investigation into whether Shakela Carter (“Respondent”), a former General Securities Representative with Merrill Lync, Pierce, Fenner & Smith Incorporated (the “Firm”),
Reference 2016049202101data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4321231 |
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