Our Staff has compiled our research into a database of FINRA Broker Disclosures for Carter, Terry & Company, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| James Gary Diffley | 1060716 | 3 | 06/01/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Gary Diffley | 1060716 | 3 | 06/01/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Trava Lance Williams | 2437216 | 17 | 05/26/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Trava Lance Williams | 2437216 | 17 | 05/26/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Amer Rathore | 2595054 | 3 | 11/12/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Amer Rathore | 2595054 | 3 | 08/11/2014 | Customer Dispute | Denied | $172,620.00 | $0.00 | See FINRA Report |
| Charles Lee Bradley | 1157140 | 14 | 11/19/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Lee Bradley | 1157140 | 14 | 06/19/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derek Shaun Dalton | 4985213 | 7 | 05/06/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wayne Wear Malone | 1623729 | 6 | 02/12/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |