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 | 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 | |
| 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 | |
| Stephen Leonard Shields | 7739084 | 9 | 02/20/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Leonard Shields | 7739084 | 9 | 09/25/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Leonard Shields | 7739084 | 9 | 05/17/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Leonard Shields | 7739084 | 9 | 05/17/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Leonard Shields | 7739084 | 9 | 03/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reginald Damon Todd | 3154338 | 11 | 07/10/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |