ALAN CASHAW JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Alan Cashaw, Jr. (CRD No. 4574278) Respondent. DISCIPLINARY PROCEEDING No. 2014041884602 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between August 2014 and May 2015, Respondent Alan Cashaw, Jr. failed to timely respond to two written information requests sent pursuant to FINRA Rule 8210. Subsequently, between August 2015 and October 2015, Respondent failed
04/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALAN CASHAW, JR. (CRD No. 4574278), Respondent. Disciplinary Proceeding No. 2014041884602 Hearing Officer-LOM DEFAULT DECISION April 18, 2016 Respondent is barred from associating with any FINRA member firm in any capacity fur failing to provide timely responses to two written requests fur information and documents pursuant to FINRA Rule 8210. Respondent is separately barred
Reference 2014041884602data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4574278 |
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