Investment Losses with Helen Caldwell? Looking for a way to recover your hard-earned money? Look no further than Haselkorn & Thibaut, the leading investment fraud law firm. We specialize in fighting for investors nationwide and have offices conveniently located in Florida, New York, North Carolina, Arizona, and Texas. With over 50 years of experience, we have recovered millions for investors and boast an impressive 98% success rate.
But why should you trust us? Well, let us tell you a little story. Helen Caldwell, a broker/investment advisor with Citigroup Global Markets and later Wells Fargo Clearing Services, recently faced serious consequences for her actions. The Financial Industry Regulatory Authority (FINRA) has permanently barred her from acting as a broker or associating with a broker-dealer firm. This decision came after Caldwell refused to provide on-the-record testimony regarding her alleged participation in outside business activities. This investigation was triggered by filings made by both Citigroup and Wells Fargo.
If you were one of the investors who suffered losses due to Caldwell’s actions, you may be entitled to a financial recovery. So why wait? Contact Haselkorn & Thibaut now for a free consultation at 1-800-856-3352. And here’s the best part – we work on a contingency basis, meaning you won’t have to pay us unless we recover for you. It’s a win-win!
On July 6th, 2023, FINRA’s Department of Enforcement entered into a Letter of Acceptance, Waiver, and Consent (AWC) with Caldwell. In this document, she consented to be permanently barred from associating with any FINRA member in all capacities. This news comes after Citigroup filed Form U5, which is a notice of a registered employee leaving the firm. It was disclosed in this form that Caldwell had voluntarily resigned. However, an amended Form U5 filed by Citigroup later revealed that an internal review found Caldwell did not adequately disclose her outside business activity and had solicited firm clients to invest in her film production business.
But the story doesn’t end there. Wells Fargo, where Caldwell worked from November 2021 to September 2022, also filed Form U5. This form disclosed that Caldwell had been discharged following an internal review concerning the accuracy of disclosures she made to the firm. This review was related to the Firm’s Outside Activities and Outside Investment Policy.
In May 2023, FINRA sent a request to Caldwell, urging her to appear for on-the-record testimony. However, Caldwell made it clear that she would not comply with this request. This refusal to provide information and testimony, as required by FINRA Rule 8210, is not taken lightly. It is a violation of not only Rule 8210 but also Rule 2010, which requires brokerage firms and their registered representatives to uphold high standards of commercial honor and just and equitable principles of trade.
At Haselkorn & Thibaut, we understand the frustration and disappointment you may be feeling after experiencing investment losses. That’s why we are here to help. We have a team of experienced investment fraud lawyers ready to fight for your rights and seek the financial recovery you deserve. Call us now at 1-800-856-3352 for a free consultation. Remember, at Haselkorn & Thibaut, we only get paid if we recover for you. So don’t delay; reach out to us today!
About Haselkorn & Thibaut:
Haselkorn & Thibaut is a leading investment fraud law firm with over 50 years of experience. Our team of dedicated lawyers has recovered millions for investors like you and has an impressive 98% success rate. We are ready to fight for investors nationwide with offices in Florida, New York, North Carolina, Arizona, and Texas. Call us now at 1-800-856-3352 for a free consultation. No recovery, no fee.
