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 |
|---|---|---|---|---|---|---|---|---|
| Nicolas Shane Toadvine | 3260858 | 12 | 04/13/2012 | Customer Dispute | Denied | $13,140.00 | $0.00 | See FINRA Report |
| Gerald E Shaw | 1305370 | 4 | 05/27/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Janeen Dulcinea Ingram | 3159867 | 2 | 02/18/2011 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Frank Charles Parlato | 3201430 | 3 | 01/19/2011 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Don Robert Guess | 2128590 | 1 | 10/04/2010 | Customer Dispute | Denied | $7,370.81 | $0.00 | See FINRA Report |
| Tony Anthony Hodge | 2141092 | 3 | 06/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frank Charles Parlato | 3201430 | 3 | 04/07/2009 | Customer Dispute | Denied | $40,387.70 | $0.00 | See FINRA Report |
| Frank Charles Parlato | 3201430 | 3 | 04/07/2009 | Customer Dispute | Denied | $40,387.70 | $0.00 | See FINRA Report |
| Becky Sue Lynch | 1899295 | 5 | 02/18/2009 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Joseph Stuart Myers | 726436 | 2 | 01/07/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |