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HELEN CALDWELL of Citigroup Global Markets is BARRED
Helen Caldwell, Formerly with Citigroup Global Markets, Barred from Securities Industry
CHICAGO, ILLINOIS
Did you invest with stockbroker Helen Caldwell in Chicago, Illinois? The securities and investment fraud law firm of Israels & Neuman is reviewing claims made against Helen Caldwell. FINRA’s Disciplinary Database shows that earlier this month, she was barred from the securities industry by FINRA.
Helen Caldwell was barred because she failed to respond to an investigation initiated by FINRA. The investigation was started because Caldwell was alleged by her former firm, Citigroup Global Markets, to have solicited some of her clients to invest in a film production business, Canal Productions. She did not get permission from Citigroup to sell investments in Canal Productions, and was also fired by Wells Fargo regarding her involvement with Canal Productions.
Helen G. Caldwell was licensed with Citigroup Global Markets from July 2012 to November 2021. She was then affiliated with Wells Fargo from November 2021 to September 2022. Caldwell also has three prior customer complaints on her record, and she was discharged by another firm in 1992.
As a licensed stockbroker, Ms. Caldwell was required to cooperate in FINRA investigations. Additionally, Citigroup Global Markets and Wells Fargo must adequately monitor the conduct of its advisors. If brokerage firms fail to adequately supervise their advisors, the firm could be responsible for financial losses.
Israels & Neuman is an investment fraud and securities arbitration law firm that has recovered millions of dollars for investors in the past, including numerous investors in the Chicagoland area. Attorney David Neuman grew up in the western suburbs of Chicago and practiced law in Illinois for nine years.
View Caldwell, h BrokerCheck 7.7.23