Caldwell International Securities will pay $2 million in settlement over churning, Finra says
Founder Greg Caldwell is barred from the brokerage industry.
Caldwell International Securities Corp. will pay about $2 million to settle charges that the broker-dealer harmed investors while its founder agreed to an industry ban, according to the Financial Industry Regulatory Authority Inc.
Caldwell International will pay a $1 million fine, plus about $1 mi
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