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 |
|---|---|---|---|---|---|---|---|---|
| Wayne Wear Malone | 1623729 | 6 | 08/09/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Trava Lance Williams | 2437216 | 17 | 02/27/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Amer Rathore | 2595054 | 3 | 01/25/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Wayne Wear Malone | 1623729 | 6 | 10/24/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Louis Takacs | 834001 | 6 | 10/25/2005 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Matthew J Smith | 4529531 | 1 | 03/20/2005 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Trava Lance Williams | 2437216 | 17 | 11/01/2004 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Trava Lance Williams | 2437216 | 17 | 07/20/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Trava Lance Williams | 2437216 | 17 | 01/14/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Scott Thieleke | 2453803 | 1 | 09/23/2002 | Customer Dispute | Denied | $42,057.00 | $0.00 | See FINRA Report |