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FINRA Bars Caldwell Broker In Investigation

January 03, 2019 | Posted by : Guiliano Law Group | Excessive Markups, Excessive Trading, Failure To Supervise, Investment and Regulatory News, Securities Arbitration Claims | 0 Comments

Alain J. Florestan of New York New York a stockbroker formerly registered with Caldwell International Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Default Decision containing findings that (1) Florestan made unsuitable investment recommendations to customers and (2) Florestan failed to cooperate in […]

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FINRA Bars Caldwell Broker In Investigation

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