Michael Barry Carter
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/09/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063523501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Barry Carter, Respondent Former Registered Representative CRD No. 3232017 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Michael Barry Carter submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019063523501finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3232017 |
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