Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, October 2016.” Caldwell International Securities Corporation (CRD #104323, Nassau, Bahamas), Greg Allen Caldwell (CRD #2816295, Austin, Texas) and Paul Joseph Jacobs (CRD #4658235, Austin, Texas) The firm was censured, fined $1,000,000, and required to pay $1,026,089.48 in restitution to […]

According to the Financial Industry Regulatory Authority Inc. (FINRA), Caldwell International Securities Corp. (CISC), a Texas wealth management firm, will pay more than $2 million in fines and restitution, to settle charges that the broker-dealer’s senior management failed to supervise partner offices where brokers were allegedly churning client accounts. Caldwell International’s founder, Greg Caldwell, will […]