Caldwell International Securities problem Archives

Robert Rex, Esq.
June 6, 2016

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

Lucas Lichtman-Former Caldwell International Securities Broker-Sued by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 6, 2016 June 6, 2016

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…

Robert Rex, Esq.
June 6, 2016

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 6, 2016 June 6, 2016

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…

Robert Rex, Esq.
June 6, 2016

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

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 6, 2016 June 6, 2016

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…

Robert Rex, Esq.
June 6, 2016

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

Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 6, 2016 March 15, 2024

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…

Robert Rex, Esq.
June 6, 2016

Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation

Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 6, 2016 June 6, 2016

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…

Robert Rex, Esq.
June 6, 2016

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

Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 6, 2016 June 6, 2016

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…

Robert Rex, Esq.
June 6, 2016

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

John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 6, 2016 June 6, 2016

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…

Robert Rex, Esq.
June 6, 2016

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 6, 2016 June 6, 2016

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…

Robert Rex, Esq.
January 11, 2016

Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator

Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 11, 2016 January 11, 2016

December 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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