Advisor Alert: Our Attorneys Are Investigating Daryl Ray Calton For Investment Fraud
Did You Lose Money Because of Daryl Calton?
Filed: March 21, 2024
Daryl Calton currently has one (1) pending customer complaint. Overall, he has been the subject of three (3) customer complaints and one (1) regulatory event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Daryl Ray Calton.
Who Is Daryl Ray Calton?
- Advisor Name: Daryl Ray Calton
- Aliases: Daryl Calton
- CRD: 1002304
- Location: Mesa, Arizona
- Current Employer: Currently Not Registered
- Previous Firms: Calton & Associates, Inc., First Affiliated Securities, Inc., and Ambac Securities, Inc.
- Number of Known Customer Complaints: 3
- Number of Known Regulatory Events: 1
- Can Daryl Calton Be Sued: Yes, in Private Arbitration
- Can Daryl Calton’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $236,200
- Highest Settlement: $14,999
If you have suffered investment losses by Daryl Calton, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Daryl Calton For Broker Misconduct
As of this publication date, Daryl Calton has been the subject of 3 customer disputes and 1 regulatory event. Let’s review them below.
In August 2023, a complaint was filed against or in reference to Daryl Calton by a customer of Calton & Associates, Inc. alleging that Mr. Calton made unsuitable recommendations to her and her late husband. Per the customer, she lost over $236,200 because of Mr. Calton’s actions. As of this publication date, this claim remains pending.
In September 2012, a FINRA arbitration was filed against or in reference to Daryl Calton by a customer of Calton & Associates, Inc. alleging breach of fiduciary duties, fraud, negligence, and violation of AZ securities law. Per the customer, he/she lost over $105,320 because of Mr. Calton’s actions. On October 4, 2012, Mr. Calton settled the claim for $14,999, and some or all of this amount may have been paid by Mr. Calton’s employer and/or insurance carrier.
In December 2003, a complaint was filed against or in reference to Daryl Calton by a customer of Calton & Associates, Inc. alleging suitability. Per the customer, he/she lost over $46,100 because of Mr. Calton’s actions.
In May 1991, Arizona Corporation Commission, Securities Division initiated a regulatory action against or in reference to Daryl Calton for violations of Arizona Securities Statutes in the offering and selling of securities within or from Arizona. He failed to timely update his U4 form, and not of good business reputation or not qualified by training or experience.
How To File A Claim Against Daryl Calton (previously with Calton & Associates, Inc., First Affiliated Securities, Inc., and Ambac Securities, Inc.) To Get Your Money Back
If you have questions about Daryl Calton, Calton & Associates, Inc., First Affiliated Securities, Inc., Ambac Securities, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.