DENNIS TODD WITTHOEFT 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.
DENNIS TODD WITTHOEFT has worked at CALTON & ASSOCIATES, INC. since December 17, 1987
Disclosure History
DENNIS TODD WITTHOEFT has 2 Disclosure Event(s).
Date: October 02, 2014 Category: Regulatory
Date: January 30, 1996 Category: Customer Dispute Allegations: CUSTOMER CLAIMED THEY WERE UNSUITABLE Settlement Amount: $15,000.00 Broker Comment: CALTON & ASSOCIATES INC SETTLED THIS CUSTOMERCOMPLAINT FOR THE AMOUNT OF $15,000.00REIMBURSED CLIENT FOR TRANSACTION, IN ORDER TOAVOID UNNECESSARY EXPENSE AND BUSINESS DOWNTIME. THERE WAS NOEVIDENCE OF WRONGDOING. CLIENT IS STILL ACTIVE WITHSAME/SIMILAR STRATEGIES THAT THEY ORIGINALLY COMPLAINED ABOUT.THESE STRATEGIES PRESENTLY OCCUR ON AN UNSOLICITED BASIS.CUSTOMER IS STILL CLIENT TO DATE. SETTLEMENT BREAKDOWN: $6500CALTON & ASSOCIATES, INC.; $7500.00 DENNIS TODD WHITTHOEFT.
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