Investigation of Alan Cashaw Jr. and FSC Securities Corp.

 

Have you lost money with financial advisor Alan Cashaw of Philadelphia, Pennsylvania?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Alan Cashaw, Jr.. FINRA barred Cashaw from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Cashaw regarding allegations that he violated his brokerage firm’s policies (FSC Securities Corp.) with regard to the availability and frequency of client contact, and that he failed to properly maintain records.

 

Alan Cashaw was a financial advisor and registered representative of FSC Securities Corp. from October 2008 to July 2014.  He worked at a branch office in Philadelphia, Pennsylvania.

 

Brokerage firms like FSC Securities Corp. have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Pennsylvania. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.

 

Click to view:  Cashaw FINRA AWC

Click to view:  Cashaw BrokerCheck 4.20.16

 

HAVE YOU LOST MONEY WITH ALAN CASHAW OR FSC SECURITIES CORP.?   

             CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798