Tag Archives: Caldwell International Securities

Caldwell International Securities Stockbroker Barred In Investigation

February 13, 2017  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News   |   0 Comments

Ricardo Francois, 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 consenting to findings that he failed to respond to a FINRA information request. Letter No. 2015043464602 (October 30, 2015). Prior to […]

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Caldwell International Securities Stockbroker Barred In investigation

February 01, 2017  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

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. […]

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Caldwell International Securities Group Stockbroker Suspended For Churning

John Billy Kakonikos, of Lake Success, New York, a stockbroker formerly associated with Caldwell International Securities, was fined $10,000.00 and suspended for eighteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he effected unauthorized, as well as unsuitable and excessive trades in a customer […]

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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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New York Securities Principal Barred for Excessive Trading

August 17, 2015  |   Posted by :   |   Churning, Excessive Trading, Investment and Regulatory News   |   0 Comments

Rasheed Adams of New York, a prior representative for Caldwell International Securities, was barred from association with any FINRA-registered firm in all capacities after failing to provide FINRA with requested documentation in connection with allegations that Adams engaged in excessive and unsuitable churning and trading in customer accounts, while also failing to disclose a total […]

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