Our Staff has compiled our research into a database of FINRA Broker Allegations for Helen Grace Caldwell.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Helen Grace Caldwell | 1957501 | 7 | 08/16/2024 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Helen Grace Caldwell | 1957501 | 7 | 07/06/2023 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Helen Grace Caldwell | 1957501 | 7 | 10/14/2009 | Customer Dispute | Denied | $7,875.49 | $0.00 | See Allegations |
| Helen Grace Caldwell | 1957501 | 7 | 05/31/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See Allegations |
| Helen Grace Caldwell | 1957501 | 7 | 05/16/2008 | Customer Dispute | Settled | $500,000.00 | $0.00 | See Allegations |
| Helen Grace Caldwell | 1957501 | 7 | 11/06/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations |