Investment Law

Mr. Carter has represented investors, corporations, executives, and professionals in a wide variety of investment disputes. In notable engagements, Mr. Carter has:

  • stock-exchangeSuccessfully participated in representing approximately forty entities, including pension funds, that invested over $90 million with an investment adviser that was found to have conducted a ponzi scheme.
  • Obtained class certification and approval of a settlement benefitting shareholders of a publicly traded Nevada corporation for an $8.5 million claim.
  • Represented a class of pension fund participants in recovering in excess of $7 million that that was received by the fund but not distributed to participants after the fund’s annuity provider demutualized.
  • Represented a shareholder in court to establish his right to sell shares in a publicly traded Nevada corporation.
  • Represented a retirement plan in defending claims that the timing of an account rollover caused losses in the participant’s account.
  • Obtained the dismissal of a suit accusing a market maker of improper short selling.

Mr. Carter has also represented individuals in disciplinary proceedings brought by regulatory authorities. For example, Mr. Carter has:

  • Defended the former CEO of a publicly traded corporation in a civil fraud suit brought by the Securities & Exchange Commission.
  • Defended a certified public accountant in disciplinary proceedings brought by the Securities & Exchange Commission.
  • Defended the owner of a trading program in disciplinary proceedings brought by the Commodities Futures Trading Commission.
  • Defended a registered representative in disciplinary proceedings brought by the NASD (predecessor to FINRA).

Mr. Carter has complementary experience in collecting judgments and accounts receivable