Tag Archives: Calton & Associates Inc.

Concorde Investment Services Accused Of Misrepresentation

January 07, 2022  |   Posted by :   |   Investment and Regulatory News, Non-traded REITs, Unsuitable Investment Recommendations   |   Comments Off on Concorde Investment Services Accused Of Misrepresentation

Richard Anthony Rodriguez, of Fruitland Park, Florida, a stockbroker formerly registered with Concorde Investment Services LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $500,000.00 in damages founded on allegations that omissions and misrepresentations about alternative investments had been made by Rodriguez while he was […]

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Calton Associates Sanctioned For Failure To Supervise

May 31, 2021  |   Posted by :   |   Failure To Supervise, Inverse/Leveraged ETF Funds, Investment and Regulatory News   |   Comments Off on Calton Associates Sanctioned For Failure To Supervise

Calton Associates Inc. a securities broker dealer headquartered in Tampa Florida has been censured and fined $250,000.00 by Financial Industry Regulatory Authority (FINRA) supported by findings of Calton Associates failing to supervise sales of volatility-linked exchange traded products which resulted in customers’ experiencing losses on unsuitable transactions. Letter of Acceptance Waiver and Consent No. 2018060466201 […]

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SEC Bars Calton Associates Stockbroker For Fraud

June 22, 2020  |   Posted by :   |   Misappropriation of Funds, Securities Fraud, Stockbroker Theft   |   Comments Off on SEC Bars Calton Associates Stockbroker For Fraud

Chris Kubiak of Brookfield Wisconsin a stockbroker formerly employed by Freedom Investors Corp and Calton Associates Inc. has been identified in a Securities and Exchange Commission (SEC) Order Instituting Administrative Proceedings in which he has been barred from being a stockbroker or investment advisor representative and barred from associating with any securities broker dealer or […]

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Unregistered Calton Broker Caught By Michigan

January 19, 2019  |   Posted by :   |   Investment and Regulatory News   |   Comments Off on Unregistered Calton Broker Caught By Michigan

Scott Thomas Schultz of Okemos Michigan a stockbroker formerly registered with Calton Associates Inc. has been fined $10,000.00 by the Michigan Department of Licensing and Regulatory Affairs Corporations Securities and Commercial Licensing Bureau according to an Order based on accusations that Schultz engaged in investment advisory services in the state on behalf of Scott Schultz […]

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VSR Financial Services Accused Of Negligence

November 28, 2017  |   Posted by :   |   Non-traded REITs, Securities Arbitration Claims   |   Comments Off on VSR Financial Services Accused Of Negligence

Mickey Long of Plano, Texas, a stockbroker formerly registered with VSR Financial Services, Inc., is the subject of a customer initiated investment related written complaint on March 27, 2017, in which the customer sought $94,438.49 in damages founded on allegations of negligence, breach of fiduciary duty, suitability and misrepresentation concerning the customer’s real estate security, […]

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Calton And Associates Broker Suspended By Regulator

November 07, 2017  |   Posted by :   |   Investment and Regulatory News   |   Comments Off on Calton And Associates Broker Suspended By Regulator

Gary Allen Graham, of Huntington Beach, California, a stockbroker currently registered with Calton & Associates, Inc., is the subject of a California Department of Insurance Order suspending Graham’s insurance licenses based upon findings that he failed to inform California about a fine and suspension imposed by Financial Industry Regulatory Authority (FINRA) for Graham’s improper conduct. […]

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Calton Associates Stockbroker Barred By Regulator

June 08, 2017  |   Posted by :   |   Inverse/Leveraged ETF Funds, Investment and Regulatory News   |   Comments Off on Calton Associates Stockbroker Barred By Regulator

Daniel Lee Pancake, of Reno, Nevada, a stockbroker formerly registered with Calton & Associates, Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on allegations that he waffled and did not provide a response to FINRA’s request for information pertaining to Pancake’s business activities. Letter […]

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VSR Financial Services Named in Customer Arbitrations Alleging Unsuitability

December 24, 2016  |   Posted by :   |   Investment and Regulatory News   |   Comments Off on VSR Financial Services Named in Customer Arbitrations Alleging Unsuitability

Robert Edward Wamhoff, from Saint Charles, Missouri, a stockbroker formerly registered with VSR Financial Services, Inc., has been subject to a customer initiated investment related arbitration claim from February 27, 2016, in which the customer alleged that Wamhoff effected unsuitable investments in the customer’s account. Two days prior, another customer filed an investment related arbitration […]

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