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 |
|---|---|---|---|---|---|---|---|---|
| Robert Louis Takacs | 834001 | 6 | 04/15/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffry Joseph Haspel | 1934054 | 2 | 02/21/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffry Joseph Haspel | 1934054 | 2 | 01/26/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Keith Francis Gil | 2218312 | 2 | 08/24/2000 | Customer Dispute | Denied | $10,531.00 | $0.00 | See FINRA Report |
| Paul Leslie Dranove | 1400006 | 4 | 01/19/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Edward Felix | 2123338 | 1 | 06/10/1998 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Derek Shaun Dalton | 4985213 | 7 | 03/03/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Leonard Perkins | 360323 | 3 | 11/17/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Lee Bradley | 1157140 | 14 | 03/28/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Francis Gil | 2218312 | 2 | 08/11/1994 | Customer Dispute | Settled | $1,120,000.00 | $0.00 | See FINRA Report |