Calton & Associates – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Calton & Associates. If you suffered losses investing with Calton & Associates, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Calton & Associates (CRD# 20999) (SEC# 8-38635)
As of August 24, 2016, Calton & Associates’ FINRA BrokerCheck Report contains the following:
8 Regulatory Event Disclosures
0 Civil Event Disclosures
7 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
2701 N ROCKY POINT DRIVE
SUITE 1000
TAMPA, FL 33607
Mailing Address
2701 N ROCKY POINT DRIVE
SUITE 1000
TAMPA, FL 33607
Business Telephone Number
813-264-0440
Direct Owners and Executive Officers
AATRIA LLC – SHAREHOLDER
CICCATI, JILL – SHAREHOLDER
CICCATI, RANDALL LEE (CRD# 1569353) – SHAREHOLDER
SIMMERS, MARGARET MERHAR – TRUSTEE OF THE SIMMERS FAMILY TRUST
SINGH, RAMESHWAR (CRD# 4660047) – SHAREHOLDER
THE SIMMERS FAMILY TRUST – SHAREHOLDER, JOHN S SIMMERS AND MARGARET A. SIMMERS TTEES
CALTON, DEREK JAY (CRD# 1192608) – VICE PRESIDENT – DIRECTOR
CALTON, DWAYNE KENT – PRESIDENT – DIRECTOR
CICCATI, AUSTIN L (CRD# 6351650) – SHAREHOLDER
CICCATI, CARLY M (CRD# 6351667) – SHAREHOLDER
CICCATI, RANDALL LEE (CRD# 1569353) – CEO / DIRECTOR
COLE, DAVID SCOTT – DIRECTOR / SECRETARY
COLE, DAVID SCOTT – CHIEF FINANCIAL OFFICER / VICE PRESIDENT
HAYDEL, JOSEPH RICHARD JR (CRD# 1220157) – VICE PRESIDENT – DUE DILIGENCE OFFICER
SHERWOOD, ANDREW COLIN (CRD# 6124300) – SHAREHOLDER
SHERWOOD, BRITTANY ANN (CRD# 6122758) – SHAREHOLDER
SHERWOOD, CHELSEA AMANDA (CRD# 6351460) – SHAREHOLDER
SHERWOOD, SCOTT HENRY (CRD# 734979) – DIRECTOR
SIMMERS, CHRISTOPHER JOHN (CRD# 6333585) – DIRECTOR
SIMMERS, CHRISTOPHER JOHN (CRD# 6333585) – CHIEF COMPLIANCE OFFICER
SIMMERS, CHRISTOPHER JOHN (CRD# 6333585) – SHAREHOLDER
SIMMERS, JOHN STEPHEN (CRD# 711578) – TRUSTEE OF THE SIMMERS FAMILY TRUST
SIMMERS, JULIE NICOLE (CRD# 6351583) – SHAREHOLDER
SINGH, RAMESHWAR (CRD# 4660047) – DIRECTOR / TREASURER/PRESIDENT OF ADVISORY SERVICES
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Calton & Associates and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
