Thursday, August 6, 2015

FINRA Bars Former Caldwell Broker for Churning Customer Accounts

FINRA Bars Former Caldwell Broker for Churning Customer Accounts -The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Richard Adams, a former registered representative of Caldwell International Securities Corp., from the securities industry for churning customers’ accounts and other securities rule violations. Adams also failed to report a dozen unsatisfied judgments and liens on his U4 Registration Form as required by FINRA rules."


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