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Calton & Associates problem

Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS

Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS 150 150 Rex Securities Law

January 2017- Oxford, MS According to publicly available records Ty Kevin Bauer , (CRD# 2150885) ,  a  stockbroker who is currently employed by Alexander Capital,  disclose 2 prior customer disputes. The Financial Industry Regulatory…

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Randy Burke Investigation- Former Stockbroker Calton & Associates-Hickory, N. Carolina

Randy Burke Investigation- Former Stockbroker Calton & Associates-Hickory, N. Carolina 150 150 Rex Securities Law

1/25/2016-Hickory, North Carolina Rex Securities Law is investigating former Calton & Associates broker Randy W. Burke. According to his FINRA brokercheck report, Burke was  barred from the securities industry October 2015, to resolve…

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Former LPL Financial/Essex National Securities Broker Sanctioned by Regulator-Cape Coral, FL

Former LPL Financial/Essex National Securities Broker Sanctioned by Regulator-Cape Coral, FL 150 150 Rex Securities Law

September 21,  2015- Cape Coral, Florida Edward K. Roos , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April…

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