FINRA Expels Monmouth Capital Management
Firm Violated Reg BI, Excessively Traded, and Churned Numerous Customer Accounts, Including Those of Gold Star Families
WASHINGTON—FINRA announced today that it has expelled Monmouth Capital Management for churning and excessively trading customer accounts in violation of Regulation Best Interest (Reg BI), failing to supervise its representatives, and providing false and misleading disclosures to retail customers on its client relationship summary (Form CRS).
2022074603801 Helen Grace Caldwell CRD 1957501 AWC vr (2023-1691281204445).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022074603801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Helen Grace Caldwell (Respondent)
Former General Securities Representative
CRD No. 1957501
Pursuant to FINRA Rule 9216, Respondent Helen Grace Caldwell submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022075848601 Ronald J. Sagasser CRD 5400879 AWC vr (2023-1691281204337).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075848601
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Ronald J. Sagasser (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 5400879
Pursuant to FINRA Rule 9216, Respondent Ronald J. Sagasser submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.