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…
read moreEnglewood 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…
read moreOctober 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…
read moreEnglewood 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…
read moreAustin, 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…
read moreSan 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…
read moreEast 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…
read moreNew 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…
read moreDecember 31, 2015- Fischer, Texas On December 31, 2015, the Financial Industry Regulatory Authority (FINRA) filed a complaint against Caldwell International Securities alleging that firm founder Greg Caldwell and supervisors Paul Jacobs…
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