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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Joseph Spieldenner | 1307705 | 7 | 12/15/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Joseph Spieldenner | 1307705 | 7 | 10/13/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Woody Bernard Margozewitz | 1722053 | 6 | 04/27/2006 | Customer Dispute | Closed-No Action | $53,000.00 | $0.00 | See FINRA Report |
| Patrick William Albrecht | 1437137 | 3 | 04/07/2006 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Christopher Joseph Spieldenner | 1307705 | 7 | 03/16/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Becky Sue Lynch | 1899295 | 5 | 02/07/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin James Marsh | 2006082 | 4 | 01/06/2006 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Ronald Allen Kerher | 1012967 | 3 | 12/13/2005 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Travis Loren Braulick | 6716541 | 6 | 10/03/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Raymond Peitz | 2050559 | 5 | 08/19/2005 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |