March 15, 2022 – Hanshew was named a respondent in a FINRA complaint alleging that he failed to provide a complete response to FINRA’s requests for information and documents during the course of its investigation into concerns that he was engaged in various sales practice violations involving senior investors, as well as failures to disclose OBAs, and judgments and liens while he was associated with his member firm. The complaint alleges that FINRA requested that Hanshew provide information about his facilitating receipt and/or distribution of funds with various individuals and entities, lending arrangements and communications with investors, OBAs, financial accounts, tax returns, Internet Protocol address(es) and Internet Service Providers, and certain judgments or liens. In a response letter, Hanshew submitted certain information and documents to FINRA, however his response was incomplete. Hanshew has not further responded to FINRA, and as a result, he is currently suspended from associating in any capacity with any FINRA member. (FINRA Case #2021071060902)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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