SSEK探讨了涉及前塞拉顾问经纪人斯蒂芬·卡弗（Stephen Carver）的投资者主张

Former LifeMark Securities Broker Gets Banned By FINRA

如果您是一名投资者，他在斯蒂芬·卡佛（Stephen Carver）处理您的投资并希望提出投资者索赔时遭受损失，我们的经纪人不当行为律师在Shepherd Smith Edwards和Kantas（SSEK律师事务所）的经纪人不当行为律师，希望与您交谈。

Carver, who most recently was a LifeMark Securities broker and before that a Cetera Advisors financial representative — Cetera and LifeMark both fired him — was just barred by the Financial Industry Regulatory Authority (FINRA).

The self-regulatory organization’s (SRO’s) ban comes after Stephen Carver declined to provide requested documents and information in its probe involving one investor claim against him.

The Multiple Broker-Dealers That Fired Or Allowed Carver To Resign

During his 26 years in the industry, Stephen Carver has been a registered broker with eight firms including the following:

• Lifemark证bob200体育券
• CeteraAdvisors
• Brewer Financial Services (which is a firm that FINRA expelled in 2011)
• LPL Financial (LPLA)
• Robert W. Baird & Co
• NatCity Investments
• NatCity Insurance
• Dean Witter Reynolds (where he first began his career as a broker in 1992)

有11个披露斯蒂芬·卡佛（Stephen Carver）的BrokerCheck记录, including three customer disputes. He has been fired or allowed to step down from several broker-dealers over the course of his career.

In 2002, Robert W. Baird & Co let Carver resign after one customer accused him of making unauthorized trades. In 2009, LPL Financial also allowed the ex-Cetera broker to step down after documents showed he took part in outside business activities without the financial firm’s written approval.

CeteraAdvisors terminated Carver’s employment in 2017 after he didn’t disclose a gift from an older investor. The former broker countered that the customer, an 87-year-old man, was his uncle and that the latter gave him money for acting as a co-signee on his bank account and for managing his expenses and paying his bills.

Lifemark证bob200体育券voluntarily terminated Carver in 2018 after he became the focus of an investor claims complaint while he was one of the firm’s brokers. Early last year, a customer dispute alleging that Carver engaged in过度交易for the purposes of making extra commissions while he was a LifeMark broker was settled for $20K.

Investor Claims Against Carver: Defrauding Older Investors

针对涉及他叔叔的前私人经纪人的指控并不是史蒂芬·卡弗（Stephen Carver）被指控涉及高级投资者的金融经纪人不当行为的唯一一次。2018年的投资索赔仍在等待中，指责他遭受了财务虐待。索赔人正在寻求930万美元的损失。

Prior to FINRA’s bar against Carver, the SRO had suspended him for seven months for not properly disclosing $92K in IRS tax liens in his Form U4.

Brokerage Firm Negligence

尽管被解雇或被允许从几家公司辞职，但Carver仍在该行业工作并处理投资者的资金。如果您是他的前客户之一，并且您怀疑您的损失是由于他涉嫌不当或过失处理您的资金，那么您可能会为对他当时工作的公司而对公司的经纪人疏忽大意。

Broker-dealers are not supposed to hire brokers with a history of negligence or misconduct and it is their job to properly supervise their employees to prevent investment fraud or negligence from occurring.

If Stephen Carver was your broker and you would like to determine whether you have grounds for an investment fraud claim,contact SSEK Law Firmtoday to schedule your free case consultation.