KlaymanToskesHelen Caldwell of Citigroup/Wells Fargo Barred by FINRA
Summary
National investment loss lawyers KlaymanToskes reports broker/investment advisor Helen Caldwell (CRD# 1957501) has been permanently barred from acting as a broker or associating with a broker-dealer firm by the Financial Industry Regulatory Authority (“FINRA”). According to FINRA BrokerCheck, Helen Grace Caldwell was previously registered with Citigroup Global Markets from 2012 to 2021, and with Wells Fargo Clearing Services from 2021 to 2022 in Chicago, IL. The AWC further disclosed that on June 12th, 2023, Caldwell acknowledged that she received FINRA’s request and will not appear for on-the-record testimony at any time. Under FINRA Rule 8210, all brokerage firms and registered financial professionals are required to provide information, documents, and testimony upon regulators’ requests. A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires brokerage firms and their registered representatives to “observe high standards of commercial honor and just and equitable principles of trade.” Former customers of Helen Caldwell that suffered losses at Citigroup and/or Wells Fargo are encouraged to contact our firm immediately to discuss recovery options at 888-997-9956 or on the web at www.klaymantoskes.com.