Tag Archives: Caldwell International Services Corporation

Financial Firm Censured and Fined by FINRA for Multiple Violations

Recently, the Financial Industry Regulatory Authority (FINRA) censured Caldwell International Services Corporation and fined the firm $1,000,000. The company was also forced to pay $1,026,089.48 in restitution to the affected clients. The penalties came in response to the company’s repeated violations of fiduciary duty to its customers and violations investment regulations. The firm’s principal,… Read More »