2014042876501 James E. Bashaw CRD 1251491 AWC jm (2019-1563533360235).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042876501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James E. Bashaw, Respondent CRD No. 1251491 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James E. Bashaw ("Bashaw" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations