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 |
|---|---|---|---|---|---|---|---|---|
| Teresa Marie Oclair | 2722808 | 4 | 06/01/2017 | Customer Dispute | Closed-No Action | $6,500.00 | $0.00 | See FINRA Report |
| Kyle Eugene Bryan | 33905 | 5 | 05/31/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Amy Lynn Colton | 5966664 | 14 | 05/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Justin Brian Mitchell | 5177794 | 2 | 05/30/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Edward Olinde | 3063204 | 2 | 05/26/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Alan Sheffield | 1694021 | 7 | 04/07/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Andrew Harris | 728875 | 1 | 03/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| M F Long | 1778299 | 16 | 03/27/2017 | Customer Dispute | Closed-No Action | $94,438.50 | $0.00 | See FINRA Report |
| Amy Lynn Colton | 5966664 | 14 | 03/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Lynn Colton | 5966664 | 14 | 02/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |