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 |
|---|---|---|---|---|---|---|---|---|
| Russell John Conson | 2306942 | 1 | 12/28/1998 | Customer Dispute | Award / Judgment | $0.00 | $77,556.00 | See FINRA Report |
| Kenneth Richard Harter | 1448027 | 2 | 08/20/1998 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Derek Elton Baltimore | 2540441 | 2 | 02/20/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank Marion Currie | 1207937 | 5 | 10/29/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dwayne Kent Calton | 501638 | 2 | 08/13/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| M F Long | 1778299 | 16 | 07/17/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Myra Ann Tucker | 812515 | 2 | 02/11/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Myra Ann Tucker | 812515 | 2 | 05/08/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Pamela Elizabeth Booton | 871613 | 2 | 04/16/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kris Brannon Lloyd | 842035 | 1 | 03/14/1996 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |