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.
Search by Name, CRD, Disclosures, or Damages:
Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
---|---|---|---|---|---|---|---|---|
Steven W Shirley | 3233105 | 3 | 07/12/2018 | Customer Dispute | Closed-No Action | $2,000,000.00 | $0.00 | See FINRA Report |
M F Long | 1778299 | 16 | 05/29/2018 | Customer Dispute | Closed-No Action | $701,936.00 | $0.00 | See FINRA Report |
Teresa Marie Oclair | 2722808 | 4 | 06/01/2017 | Customer Dispute | Closed-No Action | $6,500.00 | $0.00 | See FINRA Report |
M F Long | 1778299 | 16 | 03/27/2017 | Customer Dispute | Closed-No Action | $94,438.50 | $0.00 | See FINRA Report |
M F Long | 1778299 | 16 | 11/11/2016 | Customer Dispute | Closed-No Action | $838,389.00 | $0.00 | See FINRA Report |
M F Long | 1778299 | 16 | 10/27/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
James Thomas Huckaba | 2667682 | 1 | 04/07/2016 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
Teresa Marie Oclair | 2722808 | 4 | 02/09/2016 | Customer Dispute | Closed-No Action | $53,207.00 | $0.00 | See FINRA Report |
M F Long | 1778299 | 16 | 10/15/2015 | Customer Dispute | Closed-No Action | $6,315.69 | $0.00 | See FINRA Report |
Rafael Alberto Garcia | 2981183 | 1 | 05/09/2014 | Customer Dispute | Closed-No Action | $15,439.80 | $0.00 | See FINRA Report |