James Coleman Starks, of New York, New York, a stockbroker formerly registered with Caldwell International Securities, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Starks did not respond to a letter from FINRA which requested information from Starks. Case No. 2015043464601 (Oct. 30, 2015).
Prior to Starks’ permanent bar, he was twice investigated by FINRA concerning allegations of misconduct. Particularly, on March 30, 2014, FINRA launched an investigation into whether Starks committed violations of FINRA Rules 2111, 2020, 2010, 1122, NASD Rules 2310, IM 2310-2, and Securities and Exchange Act of 1934 Section 10(b) and SEC Rule 10b-5. Subsequently, on January 1, 2015, FINRA investigated whether Starks committed violations of FINRA Rules of 2111 and 2010.
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