Securities Lawyers Blog
Investors researching Calton & Associates, Inc. often want to know about the firm’s regulatory history before deciding whether to speak with a lawyer. This page summarizes the FINRA disciplinary actions in which Calton & Associates, Inc. was named. The securities fraud attorneys at Gana Weinstein LLP represent investors in claims against brokerage firms and financial advisors for investment fraud, unsuitable investment recommendations, excessive trading, and failure to supervise, and we can review the firm’s record together with your account statements to determine whether you have a claim.
Calton and Associates is an independent broker-dealer and investment adviser offering equities, corporate debt, municipal securities, mutual funds and advisory services through affiliated financial professionals. Formed in Florida in 1987 and headquartered in Tampa, the firm is registered in all 50 states and has grown by acquiring client accounts from closing broker-dealers since 2013.
Calton & Associates, Inc. – By the Numbers: