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 |
|---|---|---|---|---|---|---|---|---|
| Marco Javier Renteria | 2623047 | 3 | 11/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Alan Sheffield | 1694021 | 7 | 10/19/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Donald Anderson | 3068156 | 1 | 10/13/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jerome Emmett Pinckney | 1567053 | 2 | 10/12/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jerome Emmett Pinckney | 1567053 | 2 | 10/12/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tony Anthony Hodge | 2141092 | 3 | 06/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marco Javier Renteria | 2623047 | 3 | 05/11/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Richard Brennan | 2699918 | 1 | 04/21/2009 | Customer Dispute | Settled | $19,035.00 | $0.00 | See FINRA Report |
| Frank Charles Parlato | 3201430 | 3 | 04/07/2009 | Customer Dispute | Denied | $40,387.70 | $0.00 | See FINRA Report |
| Frank Charles Parlato | 3201430 | 3 | 04/07/2009 | Customer Dispute | Denied | $40,387.70 | $0.00 | See FINRA Report |