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Have You Lost Money With JAMES BASHAW of Houston, TX?

Tag Archives: James Bashaw

24
Apr

Have You Lost Money With JAMES BASHAW of Houston, TX?

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Have You Lost Money With JAMES BASHAW of Houston, TX?

Have you lost money with financial advisor James Bashaw of LPL Financial and International Assets Advisory in Houston, Texas?    The law firm of Israels & Neuman is looking into allegations made by FINRA (the Financial Industry Regulatory Authority), against James E. Bashaw. FINRA suspended Bashaw from the securities industry for four months and fined ...

12
Nov

What You Need to Know About “Selling Away”

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What You Need to Know About “Selling Away” Posted by George Yacik, Contributor – on November 12th, 2014 A spate of recent high-profile incidents of “selling away” client assets – moving money off the broker-dealer custody and records platform — should have financial advisors and others who manage money on the alert. Even if you ...

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