{"id":1540,"date":"2014-10-30T18:56:55","date_gmt":"2014-10-30T18:56:55","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2014\/10\/exlpl_financial_adviser_james"},"modified":"2022-03-10T16:34:45","modified_gmt":"2022-03-10T22:34:45","slug":"exlpl-financial-adviser-james","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/exlpl-financial-adviser-james\/","title":{"rendered":"Ex-LPL Financial Adviser, James Bashaw from Texas, Lands at New Brokerage Firm"},"content":{"rendered":"

\t\t\t\tJames “Jeb” Bashaw, the former star financial adviser at LPL Financial (LPLA) from Texas<\/a> is now registered with International Assets Advisory, a small brokerage firm. LPL Financial fired Bashaw last month over allegations involving selling away. Then, for a while this month, he was with Wunderlich Securities Inc. <\/p>\n

Selling away typically involves engaging in private securities transactions sans the required written disclosure or brokerage firm approval. It can also include borrowing from a client, as well as engaging in a transaction that is a potential conflict interest, again without the required disclosure in writing or firm approval. <\/p>\n

Responding to the selling away allegations, Bashaw noted that he was “home supervised” and underwent more than a dozen perfect audits while affiliated with LPL. After his firing, Wunderlich took steps to hire Bashaw but there was a delay in transferring his license to the firm. In the end, the broker-dealer and Bashaw reportedly decided not to pursue a working relationship. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

James “Jeb” Bashaw, the former star financial adviser at LPL Financial (LPLA) from Texas is now registered with International Assets Advisory, a small brokerage firm. LPL Financial fired Bashaw last month over allegations involving selling away. Then, for a while this month, he was with Wunderlich Securities Inc. Selling away typically involves engaging in private […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3752,3877,4014,3759,3803,3750,3884],"tags":[],"class_list":["post-1540","post","type-post","status-publish","format-standard","hentry","category-financial-firms","category-lpl-financial","category-non-traded-reits","category-reits","category-senior-investors","category-texas-securities-fraud","category-variable-annuities"],"yoast_head":"\nEx-LPL Financial Adviser, James Bashaw from Texas, Lands at New Brokerage Firm — Investor Lawyers Blog — October 30, 2014<\/title>\n<meta name=\"description\" content=\"James "Jeb" Bashaw, the former star financial adviser at LPL Financial (LPLA) from Texas is now registered with International Assets Advisory, a small — October 30, 2014\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/exlpl-financial-adviser-james\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Ex-LPL Financial Adviser, James Bashaw from Texas, Lands at New Brokerage Firm — Investor Lawyers Blog — October 30, 2014\" \/>\n<meta name=\"twitter:description\" content=\"James "Jeb" Bashaw, the former star financial adviser at LPL Financial (LPLA) from Texas is now registered with International Assets Advisory, a small — October 30, 2014\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards & Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Ex-LPL Financial Adviser, James Bashaw from Texas, Lands at New Brokerage Firm — Investor Lawyers Blog — October 30, 2014","description":"James \"Jeb\" Bashaw, the former star financial adviser at LPL Financial (LPLA) from Texas is now registered with International Assets Advisory, a small — October 30, 2014","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/exlpl-financial-adviser-james\/","twitter_card":"summary_large_image","twitter_title":"Ex-LPL Financial Adviser, James Bashaw from Texas, Lands at New Brokerage Firm — Investor Lawyers Blog — October 30, 2014","twitter_description":"James \"Jeb\" Bashaw, the former star financial adviser at LPL Financial (LPLA) from Texas is now registered with International Assets Advisory, a small — October 30, 2014","twitter_misc":{"Written by":"Shepherd Smith Edwards & Kantas, LLP","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/exlpl-financial-adviser-james\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/exlpl-financial-adviser-james\/"},"author":{"name":"Shepherd Smith Edwards & Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"Ex-LPL Financial Adviser, James Bashaw from Texas, Lands at New Brokerage Firm","datePublished":"2014-10-30T18:56:55+00:00","dateModified":"2022-03-10T22:34:45+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/exlpl-financial-adviser-james\/"},"wordCount":539,"articleSection":["Financial Firms","LPL Financial","Non-Traded REITs","REITs","Senior Investors","Texas Securities Fraud","Variable Annuities"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/exlpl-financial-adviser-james\/","url":"https:\/\/www.investorlawyers.com\/blog\/exlpl-financial-adviser-james\/","name":"Ex-LPL Financial Adviser, James Bashaw from Texas, Lands at New Brokerage Firm — Investor Lawyers Blog — October 30, 2014","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"datePublished":"2014-10-30T18:56:55+00:00","dateModified":"2022-03-10T22:34:45+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"James \"Jeb\" Bashaw, the former star financial adviser at LPL Financial (LPLA) from Texas is now registered with International Assets Advisory, a small — October 30, 2014","breadcrumb":{"@id":"https:\/\/www.investorlawyers.com\/blog\/exlpl-financial-adviser-james\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.investorlawyers.com\/blog\/exlpl-financial-adviser-james\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.investorlawyers.com\/blog\/exlpl-financial-adviser-james\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.investorlawyers.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Ex-LPL Financial Adviser, James Bashaw from Texas, Lands at New Brokerage Firm"}]},{"@type":"WebSite","@id":"https:\/\/www.investorlawyers.com\/blog\/#website","url":"https:\/\/www.investorlawyers.com\/blog\/","name":"Investor Lawyers Blog","description":"Published By Investment Fraud Attorneys \u2014 Shepherd Smith Edwards & Kantas, LLP","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.investorlawyers.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431","name":"Shepherd Smith Edwards & Kantas, LLP","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/c7f8f04990816cd4044977eb59908da8c8d1ae487cc919cebd7027b74a0740a3?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/c7f8f04990816cd4044977eb59908da8c8d1ae487cc919cebd7027b74a0740a3?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/c7f8f04990816cd4044977eb59908da8c8d1ae487cc919cebd7027b74a0740a3?s=96&d=mm&r=g","caption":"Shepherd Smith Edwards & Kantas, LLP"},"sameAs":["https:\/\/www.investorlawyers.com\/"]}]}},"jetpack_featured_media_url":"","jetpack_shortlink":"https:\/\/wp.me\/pedX9K-oQ","_links":{"self":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts\/1540","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/comments?post=1540"}],"version-history":[{"count":4,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts\/1540\/revisions"}],"predecessor-version":[{"id":23415,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/posts\/1540\/revisions\/23415"}],"wp:attachment":[{"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/media?parent=1540"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/categories?post=1540"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.investorlawyers.com\/blog\/wp-json\/wp\/v2\/tags?post=1540"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}