May 2016- Staten Island
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
According to FINRA records, Levert Caldwell discloses a pending customer dispute.
- FINRA Case 15-0042- A customer of Caldwell while he was registered with National Securities Corp alleges that unsuitable investments were made and is claiming damages of $633,132.
According to FINRA records, Caldwell has been registered with First Standard Financial since 3/2015. He was registered with National Securities Corporation from 6/2012-3/2015.
If you have losses in an account handled by Levert Caldwell , contact us to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870
