JAMES DONALD GARTON

JAMES DONALD GARTON is currently employed as a Broker and/or Investment Adviser at CHARDAN CAPITAL MARKETS LLC located at Tower 2, 200 Barangaroo Ave, Sydney NSW, , 2000.

JAMES DONALD GARTON has worked at CHARDAN CAPITAL MARKETS LLC since January 05, 2015

Disclosure History

JAMES DONALD GARTON has 1 Disclosure Event(s).

Date: October 10, 1994
Category: Criminal
Charges: ONE COUNT, MISDEMEANOR THEFT OF BALL CAP AND JERSEY WITH A VALUE LESS THAN $500, N/A, N/A Charge Type: MISDEMEANOR
Disposition: Dismissed 03/23/1995, N/A, N/A, N/A, N/A, N/A

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

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