According to FINRA, Alan Cashaw Jr. (CRD #4574278, Philadelphia, Pennsylvania) recently was barred from association with any FINRA member in any capacity. The sanction was based on findings that Cashaw failed to timely respond to FINRA written requests for information and documents. The findings stated that Cashaw responded only after having been suspended pursuant to FINRA Rule 9552. Following Cashaw’s untimely response, FINRA renewed its investigation into, among other things, allegations that Cashaw had not properly made and preserved books, accounts, records, memoranda and correspondence. Cashaw failed to respond to these subsequent requests for information and documents.
For FINRA’s full findings, see FINRA Case #2014041884602.
According to his FINRA BrokerCheck, Cashaw was registered with FSC Securities from 10/2008 – 07/2014.
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