Jeb Bashaw – Financial Advisor Jeb Bashaw Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Jeb Bashaw CRD #1251491
Jeb Bashaw has been licensed with International Assets Advisory, LLC since 2014 in Houston, Texas. FINRA reports that Jeb Bashaw was suspended for four months and fined $5,000 in April 2019.
ACCORDING TO FINRA: FINRA made a preliminary determination to recommend that disciplinary action be brought against James E. Bashaw, alleging that James Bashaw: borrowed money from a customer without notifying his member firm prior to borrowing the money and without obtaining written approval from his member firm prior to borrowing the money, in violation of FINRA Rules 3240 and 2010; provided false answers to James Bashaw’s member firm on annual questionnaires concerning the loans he accepted from a customer, in violation of FINRA Rule 2010; failed to amend his Form U4 to disclose a judgment obtained in connection with the loans he accepted from a customer within 30 days of learning of the judgment, in violation of Article V, Section 2(c) of FINRA’s By-Laws, and FINRA Rules 1122 and 2010; borrowed money from a customer without notifying his member firm prior to borrowing the money and without obtaining written approval from his member firm prior to borrowing the money, in violation of FINRA Rules 3240 and 2010; provided false answers to his member firm on an annual questionnaire concerning the loans he accepted from a customer, in violation of FINRA Rule 2010; and provided false and misleading information to FINRA in response to a request for information issued pursuant to FINRA Rule 8210 by falsely denying that he personally received money from clients and by failing to identify all loans made to him by a customer, in violation of FINRA Rules 8210 and 2010.
According to Jeb Bashaw’s CRD, a complaint was filed alleging sales practice violations against Jeb Bashaw. According to Jeb Bashaw’s CRD, these allegations included unsuitable investments, borrowing from customers, private securities transactions, and failure to supervise with respect to promissory notes provided by Jeb Bashaw and Jeb Bashaw recommending investments in Texas Air Shuttle, LLC. According to Jeb Bashaw’s CRD, this complaint was settled for $1,900,000.
If you lost money on investments with Jeb Bashaw and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Jeb Bashaw conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Jeb Bashaw and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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