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 |
|---|---|---|---|---|---|---|---|---|
| George Benjamin Sweet | 1746486 | 3 | 05/19/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Travis Loren Braulick | 6716541 | 6 | 04/25/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin James Marsh | 2006082 | 4 | 01/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick William Albrecht | 1437137 | 3 | 11/17/2004 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| David Scott Coffee | 2960532 | 5 | 11/15/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Scott Coffee | 2960532 | 5 | 11/15/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Foster Haelsig | 2164784 | 4 | 10/05/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin James Marsh | 2006082 | 4 | 09/24/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Vijay Rajaram Kane | 1676055 | 1 | 05/16/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles William Bell | 1582400 | 1 | 03/05/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |