Tag Archives: Alex Etter

Caldwell International Securities Stockbroker Suspended For Unsuitability

November 02, 2016  |   Posted by :   |   Boilerroom Sales, Churning, Investment and Regulatory News   |   0 Comments

Alex Etter, of Englewood Cliffs, New Jersey, a stockbroker formerly registered with Caldwell International Securities, was fined $10,000.00, and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity per a FINRA Order Accepting Offer of Settlement containing findings that Etter effected unsuitable investment recommendations to customers. Department of Enforcement v. […]

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