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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Stanley Brister | 30834 | 1 | 11/06/2003 | Customer Dispute | Closed-No Action | $277,706.00 | $0.00 | See FINRA Report |
| Becky Sue Lynch | 1899295 | 5 | 04/29/2003 | Customer Dispute | Closed-No Action | $110,000.00 | $0.00 | See FINRA Report |
| Dane Dulaney Fulmer | 500085 | 6 | 02/26/2001 | Customer Dispute | Closed-No Action | $32,000.00 | $0.00 | See FINRA Report |
| Dane Dulaney Fulmer | 500085 | 6 | 12/05/2000 | Customer Dispute | Closed-No Action | $72,268.00 | $0.00 | See FINRA Report |
| Rix Carlton Smith | 1061442 | 2 | 11/16/1999 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Woody Bernard Margozewitz | 1722053 | 6 | 02/12/1992 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |