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 |
|---|---|---|---|---|---|---|---|---|
| M F Long | 1778299 | 16 | 05/12/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Paul Lieu | 2591168 | 4 | 04/28/2008 | Customer Dispute | Settled | $9,661.65 | $0.00 | See FINRA Report |
| Paul Lieu | 2591168 | 4 | 01/10/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Alexander Kerr | 1201209 | 1 | 11/14/2007 | Customer Dispute | Settled | $56,000.00 | $0.00 | See FINRA Report |
| Kathleen Marie Tavs | 2938018 | 3 | 10/23/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| George Benjamin Sweet | 1746486 | 3 | 07/02/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edward Roy Clark | 1541423 | 1 | 05/29/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Woody Bernard Margozewitz | 1722053 | 6 | 04/04/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Coffee | 2960532 | 5 | 03/20/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Benjamin Sweet | 1746486 | 3 | 02/16/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |