Category: Selling Away
Erez Law is investigating claims regarding Thomas Blair Johnston (CRD #4375657, Victoria, Minnesota). Johnson recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was assessed a deferred fine of $5,000 and suspended from association with … Continue reading
Erez Law is investigating claims regarding James “Jeb” Bashaw (CRD #1251491, Houston, Texas). Bashaw was registered with LPL Financial LLC in Houston from November 2001 until his termination in September 2014. Investment News reports that Bashaw was terminated for several … Continue reading
Erez Law is investigating claims regarding Mark Steven Garrison (CRD #1939534, Easley, South Carolina), also known as Steve Garrison. Garrison recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was assessed a deferred fine of … Continue reading
Erez Law is investigating claims regarding Claus Christoph Foerster (CRD #1912949, Spartanburg, South Carolina). Foerster recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he permanently was barred from association with any FINRA member firm. See … Continue reading
Erez Law is investigating claims regarding Richard Andrew Christensen Jr.(CRD #875932, St. Charles, Missouri). Christensen recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which he was fined $10,000 and suspended from association with any FINRA member … Continue reading