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 | 12/21/2012 | Customer Dispute | Settled | $325,000.00 | $0.00 | See FINRA Report |
| John Jay John | 1785564 | 4 | 11/06/2012 | Customer Dispute | Closed-No Action | $16,557.00 | $0.00 | See FINRA Report |
| Scott Jerome Prusko | 4336715 | 2 | 10/02/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicolas Shane Toadvine | 3260858 | 12 | 10/01/2012 | Customer Dispute | Settled | $191,000.00 | $0.00 | See FINRA Report |
| Tommy N Thomas | 2842171 | 1 | 08/09/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicolas Shane Toadvine | 3260858 | 12 | 08/02/2012 | Customer Dispute | Settled | $683,000.00 | $0.00 | See FINRA Report |
| John Edmund Morette | 339775 | 1 | 05/22/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sue Ann Bunner | 1035976 | 1 | 05/04/2012 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Nicolas Shane Toadvine | 3260858 | 12 | 04/13/2012 | Customer Dispute | Denied | $13,140.00 | $0.00 | See FINRA Report |
| Nicolas Shane Toadvine | 3260858 | 12 | 04/10/2012 | Customer Dispute | Settled | $448,056.00 | $0.00 | See FINRA Report |