FINRA

Cashaw was named a respondent in a FINRA complaint alleging that he failed to timely respond to FINRA's requests for information and also failed to respond to FINRA's requests for information and documents in connection with its investigation. After the receipt of a Form U5 filing, FINRA opened an investigation into whether Cashaw had failed to properly maintain, retain, and secure customer records as required by FINRA Rule 4511 and Securities Exchange Act of 1934 Rule 17a-3.

Decision

Bar (Permanent)

All Capacities

Indefinite

5/16/2016

Default decision rendered April 18, 2016. The sanction was based on findings that Cashaw failed to timely respond to two written requests for information and documents and for failing to respond to subsequent written requests for information and documents. The findings stated that Cashaw failed to timely respond to requests for information and documents, responding 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 he had not properly made and preserved books, accounts, records, memoranda and correspondence. Cashaw failed to respond to these subsequent requests. The decision is final on May 16, 2016.

FINRA

RESPONDENT CASHAW FAILED TO RESPOND TO FINRA REQUEST FOR INFORMATION.

LETTER

Suspension

ANY CAPACITY

N/A

2/23/2015

5/5/2015

PURSUANT TO FINRA RULE 9552 AND IN ACCORDANCE WITH FINRA'S NOTICE OF SUSPENSION LETTER DATED JANUARY 30, 2015, CASHAW IS SUSPENDED ON FEBRUARY 23, 2015 FROM ASSOCIATING WITH ANY FINRA MEMBER FIRM IN ANY CAPACITY. IF CASHAW FAILS TO REQUEST TERMINATION OF THE SUSPENSION WITHIN THREE MONTHS OF THE DATE OF THE NOTICE OF SUSPENSION, HE WILL AUTOMATICALLY BE BARRED ON MAY 4, 2015 FROM ASSOCIATION WITH ANY FINRA MEMBER IN ANY CAPACITY PURSUANT TO FINRA RULE 9552(H). SUSPENSION LIFTED MAY 5, 2015.