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 |
|---|---|---|---|---|---|---|---|---|
| John Jay John | 1785564 | 4 | 11/06/2012 | Customer Dispute | Closed-No Action | $16,557.00 | $0.00 | See FINRA Report |
| John Jay John | 1785564 | 4 | 01/18/2012 | Customer Dispute | Closed-No Action | $13,073.70 | $0.00 | See FINRA Report |
| Steven W Shirley | 3233105 | 3 | 07/18/2011 | Customer Dispute | Closed-No Action | $125,000.00 | $0.00 | See FINRA Report |
| M F Long | 1778299 | 16 | 05/20/2010 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| M F Long | 1778299 | 16 | 05/20/2010 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Christopher Raymond Peitz | 2050559 | 5 | 11/16/2009 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| M F Long | 1778299 | 16 | 05/12/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kathleen Marie Tavs | 2938018 | 3 | 10/23/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Woody Bernard Margozewitz | 1722053 | 6 | 04/27/2006 | Customer Dispute | Closed-No Action | $53,000.00 | $0.00 | See FINRA Report |
| Patrick William Albrecht | 1437137 | 3 | 04/07/2006 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |