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Tagged with "Financial Adviser"

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FINRA Suspends Former LPL Investment Adviser After Borrowing $200,000 From a Client

Posted on May 9th, 2019 at 4:44 PM
FINRA Suspends Former LPL Investment Adviser After Borrowing $200,000 From a Client

FINRA has suspended former LPL Financial investment adviser, James E. “Jeb” Bashaw for failing to disclose to LPL that he borrowed $200,000 from a customer in 2013.

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Adviser Swindled $4.5 Million From a Former NFL Player to Pay Personal Expenses

Posted on July 13th, 2017 at 10:27 AM
Adviser Swindled $4.5 Million From a Former NFL Player to Pay Personal Expenses

The U.S. Attorney’s Office for the Southern District of Indiana has announced the indictment of independent adviser, Kenneth Ray Cleveland, 63, of Agoura Hills, California with seven counts of wire fraud and three counts of money laundering.

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Financial Adviser Pleads Guilty to Theft

Posted on January 8th, 2017 at 8:26 PM
Financial Adviser Pleads Guilty to Theft

Former financial adviser Brian Keenan has pleaded guilty to stealing more than $1.6 million from the beneficiaries of three separate trusts. 

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Former MLB Pitcher Sues His Former Financial Advisers

Posted on April 28th, 2015 at 9:43 AM
Former MLB Pitcher Sues His Former Financial Advisers

Former MLB pitcher, Jaret Wright, is suing his advisers at CSI Capital Management, Sun Trust Bank and accounting firm Taylor & Faust for fraud, misrepresentation, negligence and other wrongful conduct. 

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Ex-New York Islanders Owners Sentenced for Securities Fraud

Posted on December 12th, 2014 at 10:16 AM
Ex-New York Islanders Owners Sentenced for Securities Fraud

Former executives at WG Trading Co. were sentenced to 10 years in prison for participating in a fraud valued at roughly $554 million that lasted more than a decade.

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Page 1 of 1
Latest Articles
Insurance Agent Continues to Sell Despite Lengthy Disciplinary History
January 20th, 2021 at 4:23 PM
SEC Files Charges Against Jacob Glick
January 20th, 2021 at 4:08 PM
Read More »
Latest News
CFP Board is the New Sheriff and it Is Not Your Friend
October 24th, 2020 at 10:04 AM
Defending Against a Customer Complaint First Requires Selecting Correct Legal Counsel
October 15th, 2020 at 10:02 AM
Read More »
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