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FINRA Broker Disclosures for Calton & Associates, Inc.

Our Staff has compiled our research into a database of FINRA Broker Disclosures for Calton & Associates, Inc.. Search or filter the database to find more about a specific broker.

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Displaying 10 out of 26 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Steven W Shirley3233105307/12/2018Customer DisputeClosed-No Action$2,000,000.00$0.00See FINRA Report
M F Long17782991605/29/2018Customer DisputeClosed-No Action$701,936.00$0.00See FINRA Report
Teresa Marie Oclair2722808406/01/2017Customer DisputeClosed-No Action$6,500.00$0.00See FINRA Report
M F Long17782991603/27/2017Customer DisputeClosed-No Action$94,438.50$0.00See FINRA Report
M F Long17782991611/11/2016Customer DisputeClosed-No Action$838,389.00$0.00See FINRA Report
M F Long17782991610/27/2016Customer DisputeClosed-No Action$0.00$0.00See FINRA Report
James Thomas Huckaba2667682104/07/2016Customer DisputeClosed-No Action$10,000.00$0.00See FINRA Report
Teresa Marie Oclair2722808402/09/2016Customer DisputeClosed-No Action$53,207.00$0.00See FINRA Report
M F Long17782991610/15/2015Customer DisputeClosed-No Action$6,315.69$0.00See FINRA Report
Rafael Alberto Garcia2981183105/09/2014Customer DisputeClosed-No Action$15,439.80$0.00See FINRA Report

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