Public records published by the Financial Industry Regulatory Authority (FINRA) on September 28, 2016 indicate that Colorado-based Stifel Nicolaus & Company broker/adviser Stephen Carter has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Carter (CRD# 807305).
Stephen Carter has spent 38 years in the securities industry and has been registered with Stifel Nicolaus & Company in Denver, Colorado since 2013. Previous registrations include UBS Financial Services in Boulder, Colorado; Piper Jaffray & Company in Boulder, Colorado; US Bancorp Investments in St. Paul, Michigan; Smith Barney Harris Upham & Company in New York, New York; Drexel Burnham Lambert; Boettcher & Company; the Chicago Corporation; and Merrill Lynch. He is a registered broker and investment adviser with nine US states and territories: California, Colorado, Illinois, Indiana, Iowa, Kansas, Pennsylvania, Utah, and Washington.
According to his BrokerCheck report, Stephen Carter has received one customer complaint and was discharged from UBS Financial Services.
In 2013 Stephen Carter was terminated from his position at UBS Financial Services following allegations “he had signed a client’s initials to a power of attorney document that had already been signed by the client and provided to the firm for processing.”
In 2008 a customer filed a complaint against Stephen Carter, while he was employed at UBS Financial Services, in connection to the sale of an auction rate security prior to the breakdown of liquidity in the market for auction rate securities. UBS agreed to repurchase the securities at par value, for $1,325,000.
If you have complaints regarding Stephen Carter, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on a contingency basis: Fitapelli Kurta only receives payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.