Helen Caldwell Barred by FINRA Following Outside Business Allegations
Helen Caldwell (CRD #: 1957501) has been barred by FINRA. This disclosure appears on her BrokerCheck record, accessed on September 1, 2023. Keep reading if you have questions about her alleged conduct as a broker.
On July 6, 2023, Helen Caldwell consented to an Acceptance, Waiver, and Consent agreement in which she consented to the findings that she declined to provide on-the-record testimony requested by FINRA. FINRA Rule 8210 requires members to supply records, information, and testimony upon request by FINRA.
FINRA requested testimony based on one of her former firm’s disclosures that it was investigating whether she had adequately disclosed outside businesses and solicited firm clients to invest in her film production business. According to one outlet, Helen Caldwell was soliciting seniors for investments in her filmmaking business. Those seniors allegedly lost money.
Helen Caldwell’s detailed BrokerCheck record lists one outside business, a film production business called Canal Productions.
You can read a copy of the Bar here.
Background Information
Helen Caldwell has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Series 65 Uniform Investment Adviser Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
Helen Caldwell has registered with the following firms:
- Wells Fargo Clearing Services (CRD #: 19616)
- Citigroup Global Markets (CRD #: 7059)
- CCO Investment Servies Corp (CRD #: 39550)
- Chase Investment Services Corp (CRD #: 25574)
- Banc One Securities Corporation (CRD #: 16999)
- Signator Investors (CRD #: 468)
- Pruco Securities Corporation (CRD #: 5685)
- Geneva Securities (CRD #: 16178)
- Hamilton Investments (CRD #: CRD #: 821)
- Chatfield Dean & Co. (CRD #: 14714)
Kurta Law Can Help
If you worked with Helen Caldwell and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.
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