Helen Grace Caldwell – Barred by FINRA and Charged in Federal Court
FINRA barred Helen Grace Caldwell
Call 800-500-4442 if you invested in Caldwell’s Film Production Company, Canal Productions, LLC.
HELEN GRACE CALDWELL (CRD#: 1957501), a formerly registered broker for WELLS FARGO CLEARING SERVICES, LLC, in Chicago, IL, has been barred from the securities industry. The findings stated that one of Caldwell’s former firms submitted an amended Form U5 disclosing that it was internally reviewing whether she had adequately disclosed OBAs and solicited firm clients to invest in her film production business. According to FINRA, several of Caldwell’s clients subsequently made investments in her film company.

Helen Grace Caldwell Selling Away Investigation
Caldwell charged with Wire Fraud in Connection with Investments in Canal Productions, LLC
Helen Grace Caldwell, 58, was charged in Chicago’s federal court with wire fraud. She is accused of defrauding three victims out of approximately $1,480,500.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to its clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 1/15/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.