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 | 02/20/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tony Laray Holman | 5224850 | 1 | 01/18/2019 | Financial | Final | $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 | |
| Reginald Damon Todd | 3154338 | 11 | 06/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Reginald Damon Todd | 3154338 | 11 | 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 |