Customer Brings Arbitration Against RBC Capital For Unauthorized Trading

Ken Anthony Carter of Seattle Washington a stockbroker currently employed by RBC Capital Markets LLC is referenced in a customer initiated investment related arbitration claim where the customer requested $450,000.00 in damages founded on allegations that stock trades had been executed in the customer’s investment account between 2014 and 2015 that were neither suitable nor authorized by the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-02138 (June 14, 2018).

FINRA Public Disclosure reveals that Carter has been discharged from at least one prior brokerage firm based upon accusations of misconduct. Particularly, Piper Jaffray Inc. discharged Carter on February 26, 1998 supported by allegations that a customer incurred a $5,300,000.00 unsecured debit in connection with the failure to deliver securities.

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