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 |
|---|---|---|---|---|---|---|---|---|
| M F Long | 1778299 | 16 | 11/19/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Klaus Dieter Miodov | 1591145 | 1 | 11/09/2015 | Customer Dispute | Settled | $2,160,500.00 | $0.00 | See FINRA Report |
| Teresa Marie Oclair | 2722808 | 4 | 11/09/2015 | Customer Dispute | Settled | $2,160,500.00 | $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 |
| Kathleen Marie Tavs | 2938018 | 3 | 10/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Reid Richardson | 1006146 | 1 | 09/03/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Becky Sue Lynch | 1899295 | 5 | 05/28/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Becky Sue Lynch | 1899295 | 5 | 05/28/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Scott Coffee | 2960532 | 5 | 05/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Traviss King | 5753296 | 5 | 05/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |