According to FINRA, Alan Cashaw Jr. (CRD #4574278, Philadelphia, Pennsylvania) recently was barred from association with any FINRA member in any capacity. The sanction was based on findings that Cashaw failed to timely respond to FINRA written requests for information and documents. The findings stated that Cashaw responded only after having been suspended pursuant to FINRA Rule 9552. Following Cashaw’s untimely response, FINRA renewed its investigation into, among other things, allegations that Cashaw had not properly made and preserved books, accounts, records, memoranda and correspondence. Cashaw failed to respond to these subsequent requests for information and documents.
For FINRA’s full findings, see FINRA Case #2014041884602.
According to his FINRA BrokerCheck, Cashaw was registered with FSC Securities from 10/2008 – 07/2014.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For more information on the firm and it’s representation of investors, visit https://whitesecuritieslaw.com.
For a free consultation with a securities attorney, please call the firm at 1-888-637-5510.Tags: Alan Cashaw financial advisor, Alan Cashaw FINRA investigation, Alan Cashaw FINRA lawsuit, Alan Cashaw FINRA litigation, Alan Cashaw FSC Securities, Alan Cashaw investment advisor, Alan Cashaw Philadelphia Last modified: July 19, 2016