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 | 05/19/2014 | Customer Dispute | Settled | $499,999.00 | $0.00 | See FINRA Report |
| Nicolas Shane Toadvine | 3260858 | 12 | 05/12/2014 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Rafael Alberto Garcia | 2981183 | 1 | 05/09/2014 | Customer Dispute | Closed-No Action | $15,439.80 | $0.00 | See FINRA Report |
| Marc A Alvis | 5391298 | 1 | 04/07/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Christopher Joseph Spieldenner | 1307705 | 7 | 04/04/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Janeen Dulcinea Ingram | 3159867 | 2 | 12/16/2013 | Customer Dispute | Denied | $45,700.00 | $0.00 | See FINRA Report |
| Mark Layton Hepworth | 709274 | 1 | 12/11/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jon Carter Vaughan | 2449905 | 1 | 11/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Thomas Payne | 2294559 | 2 | 11/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Martin Werr | 2376757 | 2 | 09/11/2013 | Customer Dispute | Settled | $9,538.71 | $0.00 | See FINRA Report |