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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Alan Sheffield | 1694021 | 7 | 09/19/1992 | Customer Dispute | Award / Judgment | $25,000.00 | $12,487.70 | See FINRA Report |
| Derek Jay Calton | 1192608 | 4 | 08/07/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Jay Calton | 1192608 | 4 | 05/15/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Woody Bernard Margozewitz | 1722053 | 6 | 02/12/1992 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Woody Bernard Margozewitz | 1722053 | 6 | 11/25/1991 | Customer Dispute | Settled | $17,500.00 | $0.00 | See FINRA Report |
| Derek Jay Calton | 1192608 | 4 | 05/02/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Thomas Mayes | 717727 | 3 | 01/26/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph Picon Loffredo | 1615459 | 2 | 04/07/1989 | Customer Dispute | Award / Judgment | $892.89 | $829.89 | See FINRA Report |
| Ralph Picon Loffredo | 1615459 | 2 | 02/09/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Marion Currie | 1207937 | 5 | 02/04/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |