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 |
|---|---|---|---|---|---|---|---|---|
| Reginald Damon Todd | 3154338 | 12 | 12/27/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Reginald Damon Todd | 3154338 | 12 | 05/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reginald Damon Todd | 3154338 | 12 | 05/10/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Tony Laray Holman | 5224850 | 1 | 01/18/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Quentin C King | 4641222 | 1 | 10/02/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reginald Damon Todd | 3154338 | 12 | 07/10/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reginald Damon Todd | 3154338 | 12 | 06/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Reginald Damon Todd | 3154338 | 12 | 05/18/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Tackett Middleton | 5225010 | 1 | 01/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Reginald Damon Todd | 3154338 | 12 | 10/31/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |