Chase Bishop Casson Barred for Allegedly Failing to Cooperate with FINRA Regarding Alleged Sales of Investments
The Peiffer Wolf Carr & Kane 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 Jason Kane.
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 Jason Kane.
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 Wolf Carr & Kane 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 Wolf Carr & Kane, Jason Kane or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at (585) 310-5140.
Broker: Chase Bishop Casson
Status: INVESTIGATED by Peiffer Rosca.
For brokercheck report and additional info click here!