Tag Archives: Carlton & Associates Inc.

Carlton Associates Stockbroker Barred In Fraud Investigation

November 03, 2015  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News, Ponzi Schemes, Selling Away and Outside Activities   |   Comments Off on Carlton Associates Stockbroker Barred In Fraud Investigation

Randy Warren Burke of Hickory, North Carolina, a stockbroker with Synergy Investment Group, LLC, Capital Investment Group, Inc., and most recently Carlton & Associates, Inc., was permanently barred in all capacities from associating with any Financial Industry Regulatory Authority (FINRA) member after consenting to findings that he participated in private securities transactions that were not […]

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