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BRENT WILLSON BERRY

BRENT WILLSON BERRY is currently employed as a Broker and/or Investment Adviser at CALTON & ASSOCIATES, INC. located at 15066 Manzanares Rd, La Mirada, CA, 90638.

BRENT WILLSON BERRY has worked at CALTON & ASSOCIATES, INC. since November 17, 2016

Disclosure History

BRENT WILLSON BERRY has 4 Disclosure Event(s).

Date: August 10, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $20,756.60
Judgment/Lien Type: Tax

Date: December 24, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $66,000.00
Judgment/Lien Type: Tax

Date: December 03, 1997
Category: Regulatory

Date: October 12, 1981
Category: Customer Dispute
Allegations: BREACH OF DUTY, NEGLIGENCE, SUITABILITY
Damage Amount Requested: $69,818.58 Damages Granted: $69,818.58
Broker Comment: PAYMENT OF SETTLEMENTHUSBAND OF JOINT ACCOUNT DIED, BUT SALESMEN ANDFIRM FAILED TO GET NEW MARGIN AGREEMENT AND UPDATE SUITABILITYFOR WIDOW.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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