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 |
|---|---|---|---|---|---|---|---|---|
| Mikiel Ray Featherston | 1885948 | 1 | 08/12/2013 | Customer Dispute | Settled | $260,000.00 | $0.00 | See FINRA Report |
| Nicolas Shane Toadvine | 3260858 | 12 | 08/02/2013 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| William James Fleming | 1539946 | 1 | 07/15/2013 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Jason Windle Harper | 2485864 | 7 | 07/02/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nicolas Shane Toadvine | 3260858 | 12 | 05/03/2013 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Richard Lynn Havard | 2070672 | 3 | 04/29/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jerry Leland Belnap | 2661482 | 1 | 04/16/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ralph Robert Burzynski | 2999602 | 4 | 03/27/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Charles Vourlas | 4433072 | 1 | 03/26/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Leslie Jean Hale | 2192561 | 1 | 01/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |