Former New York City financial advisor Eric Kleiner (CRD# 4135180) was recently sanctioned and barred in connection with alleged rule...
Read MoreDennis Carter: Fraud Complaint Against NYLife Advisor
Las Vegas, Nevada financial advisor Dennis Carter (CRD# 6216944) allegedly facilitated a fraudulent scheme, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with NYLife Securities.
Mr. Carter’s BrokerCheck report discloses one investor complaint. Filed in November 2024, it alleges that as a representative of NYLife Securities, he “facilitated a fraudulent scheme that attempted to minimize tax liability through a charitable planning trust strategy, which involving establishing various trusts and purchasing life insurance policies.” The pending complaint, which relates to investments including a variable universal life insurance policy, alleges unspecified damages.
NYLife Securities’ website includes a page describing Mr. Carter’s approach to working with his clients. “With so many options and complex information, making financial decisions isn’t easy,” it states. “Together we can create a strategy that’s customized to your needs and goals. I believe that we’re in this together for the longhaul, so you can count on me to help manage and update our approach as your life changes.”
According to the Financial Industry Regulatory Authority, Dennis Carter holds 10 years of securities industry experience. Based in Las Vegas, Nevada, he has been registered as a broker with NYLife Securities since 2014. His credentials include the passage of three securities industry qualifying exams: the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; and the Investment Company Products/Variable Contracts Representative Examination, or Series 6. He is licensed in Arizona, California, Colorado, Idaho, Maryland, Nevada, North Carolina, Texas, and Utah. (Information current as of December 30, 2024.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.
