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 |
|---|---|---|---|---|---|---|---|---|
| Jerome Joseph Prusko | 843815 | 5 | 04/09/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Edward Scott | 1636317 | 5 | 03/31/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marc Alan Seeherman | 1131557 | 3 | 03/10/2021 | Customer Dispute | Settled | $499,000.00 | $0.00 | See FINRA Report |
| Marc Alan Seeherman | 1131557 | 3 | 03/05/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| John Edward Scott | 1636317 | 5 | 11/02/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul William Murphy | 5132291 | 3 | 10/23/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Anthony Charles Smith | 2471757 | 2 | 10/20/2020 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Bart James Bohrer | 4315654 | 5 | 07/27/2020 | Customer Dispute | Award / Judgment | $489,682.00 | $578,846.00 | See FINRA Report |
| Patrick William Albrecht | 1437137 | 3 | 04/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Thomas Lamkin | 2121510 | 7 | 03/30/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |