Chase Bishop Casson Barred for Allegedly Failing to Cooperate with FINRA Regarding Alleged Sales of Investments

stockbroker fraud attorneyThe Peiffer Rosca Wolf investment recovery lawyers are currently investigating Chase Bishop Casson, formerly of Greenburg, Pennsylvania’s Trustmont Advisory Group, Inc.

Casson reportedly refused to provide pertinent information to FINRA while he was being investigated for allegedly engaging in private securities transactions according to a FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Joe Peiffer and Alan Rosca.

Casson Reportedly Petitioned FINRA for Extension

On multiples day in August 2014, following FINRA Rules, in the midst of investigating whether or not Casson was engaged in private securities transactions, FINRA staff kindly requested documents and information from Casson, according to a FINRA AWC currently being perused by attorneys Joe Peiffer and Alan Rosca.

Casson, who first became registered with FINRA as an Investment Company Products/Variable Contracts Representative on September 4, 2001, however, reportedly failed to provide said documentation and information, according to the AWC.

As a result, the AWC further notes, Casson alleged violated SEC and FINRA Rules, and he has been barred from any association with any FINRA member firm in any capacity.

Investment Recovery Lawyers Investigating

The Peiffer Rosca Wolf investment recovery lawyers often represent investors who lose money as a result of investment fraud, or stockbroker misconduct. They are currently investigating the Casson case, and the possibility of assisting victims with the recovery of their losses. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Casson’s alleged misconduct may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 888-998-0520.

Broker: Chase Bishop Casson

Status: INVESTIGATED by Peiffer Rosca.

For brokercheck report and additional info click here!

 

Alan Rosca (1160 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.