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 Earle Blanke | 1486109 | 2 | 05/11/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| M F Long | 1778299 | 16 | 05/07/2015 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Ralph Robert Burzynski | 2999602 | 4 | 05/04/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Windle Harper | 2485864 | 7 | 03/31/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Windle Harper | 2485864 | 7 | 03/31/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen Marie Tavs | 2938018 | 3 | 12/18/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Todd Witthoeft | 1631137 | 2 | 10/02/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Joseph Spieldenner | 1307705 | 7 | 08/01/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Joseph Spieldenner | 1307705 | 7 | 07/09/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Lynn Havard | 2070672 | 3 | 05/27/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |