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 |
|---|---|---|---|---|---|---|---|---|
| Bart James Bohrer | 4315654 | 5 | 07/27/2020 | Customer Dispute | Award / Judgment | $489,682.00 | $578,846.00 | See FINRA Report |
| Gerald E Shaw | 1305370 | 4 | 05/22/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick William Albrecht | 1437137 | 3 | 04/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Thomas Lamkin | 2121510 | 4 | 03/30/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bart James Bohrer | 4315654 | 5 | 03/05/2020 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Melanie Ann Karnavas | 4451767 | 2 | 02/14/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric J Negron | 5378359 | 6 | 02/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric J Negron | 5378359 | 6 | 02/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bart James Bohrer | 4315654 | 5 | 01/29/2020 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Brian William Mohan | 1549373 | 2 | 01/28/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |