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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Wayne Albert | 2545456 | 1 | 12/19/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Paul Lieu | 2591168 | 4 | 04/19/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dane Dulaney Fulmer | 500085 | 6 | 02/26/2001 | Customer Dispute | Closed-No Action | $32,000.00 | $0.00 | See FINRA Report |
| Rix Carlton Smith | 1061442 | 2 | 12/19/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Thomas Lamkin | 2121510 | 4 | 12/18/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dane Dulaney Fulmer | 500085 | 6 | 12/05/2000 | Customer Dispute | Closed-No Action | $72,268.00 | $0.00 | See FINRA Report |
| Christopher Thomas Mayes | 717727 | 3 | 11/22/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ned Franklin Lator | 1497386 | 1 | 10/25/2000 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Dane Dulaney Fulmer | 500085 | 6 | 07/06/2000 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| M F Long | 1778299 | 16 | 07/04/2000 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |