Chase Bishop Casson (CRD #4404195, Carlsbad, California)
was barred by FINRA for allegedly failing to provide FINRA with requested information and documentation as part of an investigation into whether he was engaged in private securities transactions.
FINRA's findings stated that after receiving a fourth request, Casson informed FINRA that he would not cooperate or provide the requested information and documentation.
(FINRA Case #2014041826101)
Chase Bishop Casson was registered for 4 years in the securities industry and was previously registered with the following securities firm(s):
09/2011 - 09/2014 TRUSTMONT FINANCIAL GROUP, INC. (CRD# 18312) - CARLSBAD, CA
06/2010 - 08/2011 MORGAN STANLEY SMITH BARNEY (CRD# 149777) - RANCHO SANTE FE, CA
09/2001 - 05/2002 INTERSECURITIES, INC. (CRD# 16164) - ST. PETERSBURG, FL
This summation of information obtained from FINRA’s website listed under "Disciplinary and Other FINRA Actions, December 2014," ends here.
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