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 |
|---|---|---|---|---|---|---|---|---|
| Amy Lynn Colton | 5966664 | 14 | 12/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Jay Calton | 1192608 | 4 | 12/06/2017 | Customer Dispute | Settled | $17,500.00 | $0.00 | See FINRA Report |
| Richard Lynn Havard | 2070672 | 3 | 12/01/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Coffee | 2960532 | 5 | 11/04/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Amy Lynn Colton | 5966664 | 14 | 10/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Bruce Williams | 828968 | 4 | 09/25/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Allen Graham | 2111230 | 4 | 09/07/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Darrel Dachtler | 1348432 | 1 | 08/23/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Traviss King | 5753296 | 5 | 06/28/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Amy Lynn Colton | 5966664 | 14 | 06/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |