KENNETH RICHARD HARTER

KENNETH RICHARD HARTER is currently employed as a Broker and/or Investment Adviser at CALTON & ASSOCIATES, INC. located at 8604 BERRY PATCH LANE, ROLAND, AR, 72135.

KENNETH RICHARD HARTER has worked at CALTON & ASSOCIATES, INC. since July 09, 1993

Disclosure History

KENNETH RICHARD HARTER has 3 Disclosure Event(s).

Date: December 24, 2015
Category: Judgment / Lien
Judgment/Lien Amount: $15,840.18
Judgment/Lien Type: Tax

Date: March 31, 2015
Category: Judgment / Lien
Judgment/Lien Amount: $108,465.79
Judgment/Lien Type: Tax

Date: August 20, 1998
Category: Customer Dispute
Allegations: IN THE CLASS ACTION SUIT RELATING TOCITI-EQUITY GROUP, THE ALLEGATIONS AGAINST THE DEFENDANTS AREMISREPRESENTATION AND OMISSION OF MATERIAL FACTS, NEGLIGENCEAND BREECH OF FIDUCIARY DUTY. THE PLAINTIFFS ARE SEEKING TOTALDAMAGES OF $150,000,000 FROM ALL DEFENDANTS COMBINED.
Damage Amount Requested: $150,000.00
Settlement Amount: $20,000.00
Broker Comment: KENNETH HARTER AGREED TO PAY THE PLAINTIFFS$20,000. IN EXCHANGE, PLAINTIFFS AGREED TO DISMISS THE ACTIONAGAINST HARTER AND RELEASE ANY AND ALL CLAIMS AGAINST HARTER.NOT PROVIDED

More Information

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