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 | 11 | 10/31/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Scott Morrissett | 2297292 | 1 | 09/16/2002 | Customer Dispute | Closed-No Action | $95,000.00 | $0.00 | See FINRA Report |
| Christian Alan Cornell | 2222822 | 1 | 08/21/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Billy Randolph Carty | 42297 | 13 | 12/20/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Edward Warren | 2231913 | 1 | 07/30/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Reginald Damon Todd | 3154338 | 11 | 06/13/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Reginald Damon Todd | 3154338 | 11 | 05/23/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Reginald Damon Todd | 3154338 | 11 | 04/18/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Reginald Damon Todd | 3154338 | 11 | 12/16/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Billy Randolph Carty | 42297 | 13 | 01/01/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |