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…

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Laidlaw 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).…

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Thomas 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…

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Update: 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…

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FINRA 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…

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Stifel 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…

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John 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…

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Joseph 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…

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FINRA 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…

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Oppenheimer & 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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