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calton & associates complaint

Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX
Mickey Long-Former VSR Financial Services Broker-Discloses Pending Customer Disputes-Plano, TX 150 150 Rex Securities Law

February  2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…

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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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Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX
Mickey Long-VSR Financial Broker- Sanctioned by Texas State Securities Board-Plano, TX 150 150 Rex Securities Law

October 2016-Plano, Texas The Texas State Securities Board (TSSB) entered a Disciplinary Order against M. F. (Mickey) Long II who operates First Financial Services Group in Plano, TX, and stock brokerage…

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James R. Kennedy-Former VSR Financial Services Broker Discloses Customer Disputes- Eastland, Texas
James R. Kennedy-Former VSR Financial Services Broker Discloses Customer Disputes- Eastland, Texas 150 150 Rex Securities Law

February 2017- Eastland, Texas Rex Securities Law is investigating former VSR Financial Services broker James Roy Kennedy of the Smart Money Group and Kennedy Financial Services in connection with the sale of unsuitable investments, including real…

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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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Kenneth Popek, Former Calton & Assoc. Broker-Settles Numerous Customer Suits-Tampa, FL
Kenneth Popek, Former Calton & Assoc. Broker-Settles Numerous Customer Suits-Tampa, FL 150 150 Rex Securities Law

June 2018 UPDATE–Tampa, Florida Rex Securities Law is investigating claims involving Ken Joseph Popek, a stock  broker who is not currently registered and who was last employed by Calton & Associates. According…

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Calton & Associates/R.M. Duncan Named in Regulatory Complaint For Unfair Bond Sales
Calton & Associates/R.M. Duncan Named in Regulatory Complaint For Unfair Bond Sales 150 150 Rex Securities Law

December 31, 2014 The Department of Market Regulation of FINRA filed an action against Calton & Associates and R.M. Duncan Securities, Inc. and several registered representatives alleging that in connection with…

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