{"id":2671,"date":"2016-11-21T00:00:00","date_gmt":"2016-11-21T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/failure-comply-finra-request-terminates-broker-lance-shaws-securities-industry-career\/"},"modified":"2018-10-08T12:38:04","modified_gmt":"2018-10-08T16:38:04","slug":"failure-comply-finra-request-terminates-broker-lance-shaws-securities-industry-career","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/failure-comply-finra-request-terminates-broker-lance-shaws-securities-industry-career\/","title":{"rendered":"Failure to Comply with FINRA Request Terminates Broker Lance Shaw\u2019s Securities Industry Career"},"content":{"rendered":"<\/p>\n

\"Failure<\/p>\n

Allegations against the former Orlando broker include unauthorized trading and misrepresentation, among others.<\/h2>\n

Lance Shaw performed as a broker in the securities industry over the span of 15 years, however, in May 2016, the Financial Industry Regulatory Authority (FINRA) permanently barred<\/span><\/a> him from acting as a broker or otherwise associating with firms that sell securities to the public.<\/p>\n

Over the course of a FINRA investigation into Shaw\u2019s performance in the financial industry, the broker \u2013 most recently employed by International Assets Advisory LLC in Orlando, FL \u2013 failed to respond to the agency\u2019s request for information. In eight customer disputes, allegations against Shaw included unauthorized trading<\/span><\/a>, improper and excessive trading (otherwise known as churning<\/span><\/a>, an activity that inflates broker commissions), mismanagement, unsuitability<\/span><\/a>, and misrepresentation. Damages requested in these disputes exceed over $600,000.<\/p>\n

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

Allegations against the former Orlando broker include unauthorized trading and misrepresentation, among others. Lance Shaw performed as a broker in the securities industry over the span of 15 years, however, in May 2016, the Financial Industry Regulatory Authority (FINRA) permanently barred him from acting as a broker or otherwise associating with firms that sell securities […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588],"tags":[9],"class_list":["post-2671","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","tag-finra"],"yoast_head":"\nFailure to Comply with FINRA Request Terminates Broker Lance Shaw\u2019s Securities Industry Career — Securities Arbitration Lawyers Blog — November 21, 2016<\/title>\n<meta name=\"description\" content=\"Check out the new article Failure to Comply with FINRA Request Terminates Broker Lance Shaw\u2019s Securities Industry Career on silverlaw.com\" \/>\n<meta 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