Our Staff has compiled our research into a database of FINRA Broker Disclosures for Carty & Company, 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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Leonard Shields | 7739084 | 9 | 09/20/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rush Flowers Harding | 501131 | 3 | 05/16/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Reginald Damon Todd | 3154338 | 11 | 12/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Leonard Shields | 7739084 | 9 | 12/09/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reginald Damon Todd | 3154338 | 11 | 05/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reginald Damon Todd | 3154338 | 11 | 05/10/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Stephen Leonard Shields | 7739084 | 9 | 03/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Leonard Shields | 7739084 | 9 | 01/03/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rush Flowers Harding | 501131 | 3 | 08/31/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rush Flowers Harding | 501131 | 3 | 08/26/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |