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