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.
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
Adviser Swindled $4.5 Million From a Former NFL Player to Pay Personal Expenses
Posted on July 13th, 2017 at 10:27 AM
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.
Financial Adviser Pleads Guilty to Theft
Posted on January 8th, 2017 at 8:26 PM
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 Sues His Former Financial Advisers
Posted on April 28th, 2015 at 9:43 AM
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.
Ex-New York Islanders Owners Sentenced for Securities Fraud
Posted on December 12th, 2014 at 10:16 AM
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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