Nathan D. Caldwell

FINRA has permanently barred former Osaic Institutions, Inc. broker Nathan D. Caldwell (CRD No. 7380221) after he refused to provide documents and information requested as part of an investigation into unauthorized bank transfers from a customer’s account to his own. Caldwell, who was associated with Osaic in an unregistered capacity beginning in August 2021, was discharged in October 2024 after a subscribing financial institution terminated him over the alleged transfers.

Following his termination, FINRA launched an investigation and requested information from Caldwell under Rule 8210. Despite acknowledging these requests, he refused to comply, violating FINRA Rules 8210 and 2010, which require brokers to cooperate with regulatory inquiries and uphold high ethical standards. As a result, FINRA has barred him from associating with any member firm in any capacity.

Although Caldwell is no longer a registered broker, FINRA retains jurisdiction over former brokers for misconduct that occurred while they were licensed. While this action removes him from the industry, it does not compensate investors who may have suffered financial losses. If you invested with Caldwell or Osaic Institutions and believe you were harmed, you may have legal options. Contact ChapmanAlbin today for a free consultation.