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 |
|---|---|---|---|---|---|---|---|---|
| Becky Sue Lynch | 1899295 | 5 | 02/18/2009 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Christopher Joseph Spieldenner | 1307705 | 7 | 01/22/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Alan Sheffield | 1694021 | 7 | 01/09/2009 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Joseph Stuart Myers | 726436 | 2 | 01/07/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin James Marsh | 2006082 | 4 | 12/19/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edward Lawrence Reed | 2450418 | 1 | 10/15/2008 | Customer Dispute | Settled | $62,000.00 | $0.00 | See FINRA Report |
| Nicholas Roger Gleisner | 7768883 | 1 | 10/05/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Walter Devine | 4392161 | 1 | 09/24/2008 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Paul Lieu | 2591168 | 4 | 08/25/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joshua Garrett Hanby | 4415096 | 1 | 07/14/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |