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Caldwell International Securities

Churning Costs Firm $2 million

By Tom Costello of Costello Law Group  Greg Caldwell, the founder of Caldwell International Securities, was barred from the financial industry by FINRA for allegedly churning customers’ accounts. The firm will have to pay a $2 million fine for failing to supervise and prevent the abusive sales practices engaged in by Greg Caldwell. […]

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