Daniel George Kasbar (CRD #5869994, Cooper City, Florida) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kasbar consented to the sanction and to the entry of findings that he failed to provide FINRA with requested documents and information during its investigation into allegations that he engaged in an outside business activity beyond the scope of the approvals provided by his member firms.
For the full FINRA findings, see FINRA Case #2015045744901.
According to Kasbar’s FINRA Broker Check, he was registered with LPL Financial from 03/2014 – 06/2015 and HD Vest from 02/2011 – 03/2014.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group.
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm.
For more information on The White Law Group, visit www.whitesecuritieslaw.com.