Regulatory Sanction
Jeb Bashaw: International Assets Rep Suspended by FINRA; Complaint Settles for $1.9 Million
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that Texas-based International Assets Advisory broker/adviser Jeb Bashaw was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bashaw (CRD# 1251491). Jeb Bashaw has…
Read MoreLaidlaw and Company: 5 Regulatory Sanctions, 2 Customer Complaints
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 8, 2019 indicate that UK-based brokerage firm Laidlaw & Company, also known as Sands Brothers International, has received customer complaints and regulatory sanctions. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Laidlaw & Company (CRD# 119037).…
Read MoreThomas Parker: Thoroughbred Financial Rep Hit With $75,000 SEC Fine
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 30, 2019 indicate that Tennessee-based Thoroughbred Financial Services broker/adviser Thomas Parker has received numerous customer disputes and regulatory sanctions. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Parker (CRD# 356789). Thomas Parker has spent 45 years…
Read MoreUpdate: Jason Nye, Ex-ON Equity Sales Rep, Suspended by FINRA
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that former Ohio-based ON Equity Sales Company broker Jason Nye has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who…
Read MoreFINRA Sanctions BrokerBank Securities Over Alleged Supervisory Failures
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 4, 2018 indicate that Minnesota-based broker-dealer firm BrokerBank Securities was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints BrokerBank Securities (CRD# 10641). Established in Minnesota in 2003, BrokerBank…
Read MoreStifel Nicolaus and Company Sanctioned Over OTC Trading Allegations
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 4, 2018 indicate that Missouri-based broker-dealer firm Stifel Nicolaus & Company was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints Stifel Nicolaus & Company (CRD# 793). Established…
Read MoreJohn Cione: Investor Seeks over $600,000 in Suitability Complaint
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that California-based Independent Financial Group broker/adviser John Cione has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Cione (CRD# 1742561). John Cione has spent 31 years in…
Read MoreJoseph Eschleman Sanctioned by FINRA Over Discretion Allegations
Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that California-based Purshe Kaplan Sterling broker/adviser Joseph Eschleman has been sanctioned by FINRA in connection to alleged rule violations and issued a suspension from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have…
Read MoreFINRA Sanctions Ex-Morgan Stanley Rep Jason Beem
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former Kentucky-based Morgan Stanley broker/adviser Jason Beem was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints…
Read MoreOppenheimer & Company’s Jesse Webb Named in Complaint by State Regulators
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that Texas-based Oppenheimer & Company broker/adviser Jesse Webb, who has received several customer disputes, was recently named in a pending complaint by state regulatory authorities. Fitapelli Kurta is interested in speaking to investors who have complaints regarding…
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