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Brokerage Customers of Caldwell International Securities Corp. Should Contact Us

October 18, 2016 Active Cases & Investigations

On October 17, 2016, FINRA, which regulates stock brokers and brokerage firms, announced that it fined Alex Etter and Caldwell International Securities Corp. in New Jersey, for charges that they engaged in risky speculative trading to generate commissions.   FINRA charged Caldwell with generating more than $1 million in “shady commissions,” and lacking a reasonable supervisory system.

Caldwell has had eight of its brokers settle charges brought by FINRA including Alex Etter, Greg Caldwell, Lennie Freiman, Richard Lee and Paul Jacobs.

Anyone who was a brokerage customer of Caldwell International Securities Corp. or any of these individuals should contact us to have their accounts reviewed.  You can contact Jake Zamansky by telephone at (212) 742-1414 or by email at jake@zamansky.com.

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