Tag Archives: Caldwell International Securities Group

FINRA Bars Caldwell Broker In Investigation

January 03, 2019  |   Posted by :   |   Excessive Markups, Excessive Trading, Failure To Supervise, Investment and Regulatory News, Securities Arbitration Claims   |   Comments Off on FINRA Bars Caldwell Broker In Investigation

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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Caldwell International Securities Stockbroker Suspended For Unsuitable Recommendations

November 02, 2016  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News, Strategic Return Notes   |   Comments Off on Caldwell International Securities Stockbroker Suspended For Unsuitable Recommendations

Richard Lee, of Englewood Cliffs, New Jersey, a stockbroker formerly registered with Caldwell International Securities Group, was suspended for eighteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity per an Order Accepting Offer of Settlement containing findings that Lee made unsuitable investment recommendations. Department of Enforcement v. Richard Lee, […]

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Regulators Sanction Caldwell International Broker for Unsuitable Recommendations

October 15, 2016  |   Posted by :   |   Boilerroom Sales, Excessive Trading, Investment and Regulatory News   |   Comments Off on Regulators Sanction Caldwell International Broker for Unsuitable Recommendations

Lucas Lichtman, of Englewood Cliffs, New Jersey, a stockbroker for Caldwell International Securities Group, was fined $7,500.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity per an Order Accepting Offer of Settlement containing findings that Lichtman engaged in unsuitable investment recommendations. Department of Enforcement v. […]

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Caldwell International Securities Group Sanctioned

September 09, 2016  |   Posted by :   |   Failure To Supervise, FINRA Securities Arbitration, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Caldwell International Securities Group Sanctioned

Caldwell International Securities Group, headquartered in Fischer, Texas, along with the firm’s supervisory staff members (Greg Caldwell, Lennie Freiman, and Paul Jacobs) were censured and fined by Financial Industry Regulatory Authority (FINRA) per an Order Accepting Offer of Settlement containing findings that the firm and individuals committed, inter alia, unsuitable investment strategy recommendations, unsuitable exchange […]

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