CHRISTOPHER JOHN MULCAHY is currently employed as a Broker and/or Investment Adviser at CALTON & ASSOCIATES, INC. located at 2701 N Rocky Point Drive, Suite 1000, TAMPA, FL, 33607.
CHRISTOPHER JOHN MULCAHY has worked at CALTON & ASSOCIATES, INC. since August 27, 2003
Disclosure History
CHRISTOPHER JOHN MULCAHY has 3 Disclosure Event(s).
Date: April 29, 2009 Category: Financial Type: Bankruptcy Disposition: SIPA Trustee Appointed Broker Comment: DETAILS MAY BE CONFIRMED DELLUTRI LAW FIRM FT. MYERS
Date: January 18, 2000 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE UNSUITABILITY, CHURNING, AND UNAUTHORIZED TRADING OF COMMON STOCKS IN THEIR ACCOUNT. ALLEGED DAMAGES ARE BETWEEN $50,000 AND $100,000. Damage Amount Requested: $50,000.00 Damages Granted: $39,345.07 Broker Comment: THE ARBITRATION PANEL FOUND RAYMOND JAMES AND MULCAHY JOINTLY LIABLE FOR THE ACTIONS ONLY AT RAYMOND JAMES AND AWARDED [CUSTOMER] $28,759 PLUS $10,586.07 IN INTEREST.
Date: May 06, 1999 Category: Customer Dispute Allegations: CHURNING; POOR PERFORMANCE/SUITABILITY. Damage Amount Requested: $37,000.00 Broker Comment: NOT PROVIDEDTHIS CLIENT'S ALLEGATIONS ARE COMPLETELY WITHOUTMERIT. I HAD A REASONABLE BASIS FOR MAKING EACH RECOMMENDATIONIN LIGHT OF THE CLIENTS INVESTMENT OBJECTIVES AND FINANCIALCIRCUMSTANCES AS I UNDERTOOD THEM.
More Information
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