CARROLLTON, TEXAS

Have you lost money with financial advisor Keith T. Ashley, of Parkland Securities, in Carrollton, Texas?  We are continuing to look allegations of former customers related to Keith Ashley. In 2020, Keith Ashley was arrested for allegedly murdering one of his clients.  Ashley has also been charged with running a $1.3 million Ponzi scheme.  It was alleged that Ashley used some of the funds to operate his brewery, Nine Band Brewing, and also for casinos, personal credit cards, and legal fees.

Keith Ashley’s BrokerCheck report, a public record maintained by FINRA, discloses that FINRA is investigating him for selling unregistered investments in Nine Band Brewing.  FINRA also states that Ashley was recently fired by Parkland Securities for engaging in undisclosed outside business activities.

Keith Ashley was a registered representative of Parkland Securities from 2002 to October 2020.  Ashley has worked in offices in Carrollton, Texas.  Ashley was terminated by Parkland Securities in October 2020.

Brokerage firms like Parkland Securities have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Texas.   Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Parkland Securities.

Click to view BROKERCHECK:  Ashley, Keith BrokerCheck 11.19.20

If you lost money with Keith Ashley or Parkland Securities, please CONTACT US at 720-599-3505 or 206-795-5798 for a free evaluation of your case.