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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Alan Sheffield | 1694021 | 7 | 04/19/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Raymond Peitz | 2050559 | 5 | 04/05/2010 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Teresa Marie Oclair | 2722808 | 4 | 02/05/2010 | Customer Dispute | Settled | $1,547,550.00 | $0.00 | See FINRA Report |
| Laurie Ann Braulick | 1568481 | 5 | 02/02/2010 | Customer Dispute | Settled | $62,083.00 | $0.00 | See FINRA Report |
| Nicolas Shane Toadvine | 3260858 | 12 | 01/11/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Bradley Bruce Williams | 828968 | 4 | 12/21/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ronald Allen Kerher | 1012967 | 3 | 12/03/2009 | Customer Dispute | Award / Judgment | $485,000.00 | $299,400.00 | See FINRA Report |
| Christopher Raymond Peitz | 2050559 | 5 | 11/16/2009 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Christopher Raymond Peitz | 2050559 | 5 | 11/16/2009 | Customer Dispute | Settled | $232,000.00 | $0.00 | See FINRA Report |
| Christopher Raymond Peitz | 2050559 | 5 | 11/12/2009 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |