MATTHEW MARK MAWDSLEY

MATTHEW MARK MAWDSLEY is currently employed as a Broker and/or Investment Adviser at CALTON & ASSOCIATES, INC. located at 600 W REPUBLIC ROAD, SUITE A100, SPRINGFIELD, MO, 65807.

MATTHEW MARK MAWDSLEY has worked at CALTON & ASSOCIATES, INC. since August 27, 1998

Disclosure History

MATTHEW MARK MAWDSLEY has 2 Disclosure Event(s).

Date: February 25, 2010
Category: Financial
Type: Bankruptcy
Disposition: Discharged
Broker Comment: CORRECTED DISCHARGED DATE

Date: March 26, 2001
Category: Customer Dispute
Allegations: FAILURE TO FOLLOW INSTRUCTIONS TO COVER CALLS ON 10 AAOVN
Damage Amount Requested: $18,000.00
Broker Comment: FIRM CONTACTED CLIENT, NOTHING EVER CAME OF COMPLAINT

More Information

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.

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

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