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Caldwell International Securities

Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York

Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York 150 150 Rex Securities Law

July 2017-New York According to publicly available records Tyre F. Newsome , (CRD# 4812894) ,  a   stockbroker who is  currently registered with Windsor Street Capital , disclose  a prior customer dispute,…

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Lucas Lichtman-Former Caldwell International Securities Broker-Sued by Securities Regulator

Lucas Lichtman-Former Caldwell International Securities Broker-Sued by Securities Regulator 150 150 Rex Securities Law

Englewood Cliffs, New Jersey According to FINRA records,  Lucas D. Lichtman,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation . The Financial Industry Regulatory Authority (FINRA) is the agency…

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Richard Lim-Former Caldwell International Securities Broker-Named in Regulatory Complaint-Englewood Cliffs, NJ

Richard Lim-Former Caldwell International Securities Broker-Named in Regulatory Complaint-Englewood Cliffs, NJ 150 150 Rex Securities Law

Englewood Cliffs, New Jersey According to FINRA records,  Richard Lim,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation and 3 presently outstanding judgement/liens . The Financial Industry Regulatory…

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Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX 150 150 Rex Securities Law

October 2017-Austin, Texas According to FINRA records,  Paul Jacobs,   a stockbroker who is currently  employed by Cape Securities, discloses  a prior regulatory sanction . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint

Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint 150 150 Rex Securities Law

Englewood Cliffs, New Jersey According to FINRA records,  Alex E. Etter,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation . The Financial Industry Regulatory Authority (FINRA) is the agency…

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Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation

Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Rex Securities Law

Austin, Texas OCTOBER 2017 UPDATE-Caldwell International Securities was expelled from the securities industry by FINRA January 2017. According to FINRA records,  Greg A. Caldwell,   a stockbroker who is currently  employed by Caldwell International…

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Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation

Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Rex Securities Law

San Antonio, Texas According to FINRA records,  Lennie S. Freiman,   a stockbroker who most recently worked for Caldwell International Securities, but who is not currently registered with any firm,  discloses  a pending regulatory investigation and…

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John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning

John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning 150 150 Rex Securities Law

East Meadow, New York UPDATE MAY 2017-In November 2016 John B. Kakonikos was suspended by FINRA for 18 months, fined $10,000 and ordered to pay restitution of $72,524 to resolve…

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Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute 150 150 Rex Securities Law

New York According to FINRA records,  Maria Fan,   a stockbroker who most recently worked for Wilmington Capital Securities, but is not currently registered with any firm,   discloses  a currently pending customer dispute and 2 prior…

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