LPL Fires Top Houston Branch Manager

Posted on October 15th, 2014 at 10:20 AM

From the Desk of Jim Eccleston at Eccleston Law Offices:

LPL Financial terminated the employment of one of its largest branch managers, James Bashaw, for failing “to follow firm policies and industry regulations”.

Bashaw was a star broker in Houston with total assets of $3.8 billion under management and about two dozen advisers working under him in various offices. Bashaw is now registered with Wunderlich Securities Inc. 

According to his BrokerCheck profile, Bashaw had two prior customer disputes. 

The attorneys of Eccleston Law Offices represent investors and advisers nationwide in securities and employment matters. Our attorneys draw on a combined experience of nearly 50 years in delivering the highest quality legal services.

Related Attorneys: James J. Eccleston


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