Mark Allen Carter, of Charlotte, North Carolina, a stockbroker formerly registered with Pruco Securities LLC, is the subject of a customer initiated investment related complaint filed on April 4, 2014, in which the customer requested $500,000.00 in damages based upon alleged unauthorized trading in the customer’s retirement account when Carter was associated with Pruco Securities LLC.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally shows that on February 27, 2024, Pruco Securities LLC permitted Carter to resign based upon alleged mismarking of trade orders and unauthorized trading in customer accounts which resulted in losses to the customers.
Carter was associated with Pruco Securities LLC in Charlotte, North Carolina from September 8, 2014, to March 25, 2024.
