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Joshua Caldwell Fired from Horace Mann Investors

Joshua Caldwell (CRD #: 6984990), a broker formerly registered with Horace Mann Investors, has been fired from that firm, according to his BrokerCheck record, accessed on May 4, 2025. If you want to know more about his alleged conduct as a broker, keep reading.

Termination from Horace Mann Investors

On March 10, 2025, Horace Mann Investors fired Joshua Caldwell following his alleged termination by the firm’s affiliate insurance company.

This affiliate allegedly conducted an audit that revealed a pattern of life insurance applications being rewritten for members of the same household. Joshua Caldwell allegedly did this to acquire sufficient production points to avoid termination for insurance agency standards.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Joshua Caldwell has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7

He previously worked for Horace Mann Investors (CRD#:11643) and Raymond James & Associates (CRD#:705).

Kurta Law Can Help

If you worked with Joshua Caldwell and you 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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