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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Tag Archives: Richard Lee
Caldwell International Securities Stockbroker Suspended For Unsuitable Recommendations
November 02, 2016 | Posted by : Guiliano Law Group | Boilerroom Sales, Investment and Regulatory News, Strategic Return Notes | 0 Comments
Regulators Sanction Caldwell International Broker for Unsuitable Recommendations
October 15, 2016 | Posted by : Guiliano Law Group | Boilerroom Sales, Excessive Trading, Investment and Regulatory News | 0 Comments
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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