Calton & Associates

  • Robert Rex, Esq.

Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS
Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS 150 150 Robert Rex, Esq.

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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes
Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes 150 150 Robert Rex, Esq.

UPDATE MARCH 2018-Follow this link for most recent update. UPDATE SEPTEMBER 2017–Robert Wamhoff discloses 2 currently pending customer disputes: 7/2017-a customer of VSR Financial Services alleges poor performance of oil…

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  • Robert Rex, Esq.

Edgar A. Thomas-Former Investors Capital Broker-Discloses Customer Dispute
Edgar A. Thomas-Former Investors Capital Broker-Discloses Customer Dispute 150 150 Robert Rex, Esq.

Lakeland, Florida According to FINRA records, Edgar A. Thomas ,  a broker who is currently registered  with Calton & Assoc. , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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  • Robert Rex, Esq.

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

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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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