Securities Fraud Blog
FINRA announced last month that it has barred Charlotte, North Carolina based financial advisor Christopher J. Carpenter. The FINRA Letter of Acceptance, Waiver, and Consent states that Mr. Carpenter failed to produce documents or information requested in response to a FINRA investigation.
The investigation allegedly was initiated in response to a Uniform Termination Notice for Securities Industry Registration (Form U5), reporting Carpenter’s discharge from his firm, LPL Financial. The Form U5 stated that LPL was reviewing Carpenter’s “alleged participation in unapproved real estate investments with customers.”
Mr. Carpenter’s FINRA Brokercheck report states that he was registered with LPL in Charlotte from 2020 to 2023, and prior to that he was registered with Spire Securities.
If you have lost money as a result of real estate investments associated with Mr. Carpenter or LPL, please contact W. Scott Greco for a free attorney consultation about your potential case. Greco & Greco has decades of experience representing harmed investors in cases of high risk real estate and other investments, as well as cases of securities fraud and investment fraud.