The Hanley Law (239) 649-0050 recently discovered that according to FINRA’s Disciplinary and Other FINRA Actions publication, Aaron Parthemer (CRD No. 2546369) was barred from associating with any FINRA member after he failed to disclose his outside business activities.
FINRA alleged that from 2009 to 2013 Parthemer failed to disclose his involvement in the nightclub, Club Play. Additionally, Parthemer allegedly did not disclose his involvement with an internet branding set up and a tequila marketing operation. Furthermore, Parthemer made unapproved loans to clients in connection with the club and advised clients to invest in the branding startup. (See FINRA Case No. 2011030405801)
Aaron Parthemer was an active broker for 20 years with the following member firm(s):
WELLS FARGO ADVISORS, LLC
CRD # 19616
FORT LAUDERDALE, FL
10/2011 – 4/2015
MORGAN STANLEY SMITH BARNEY
CRD # 149777
FORT LAUDERDALE, FL
6/2009 – 11/2011
CITIGROUP GLOBAL MARKETS, INC.
CRD # 7059
FORT LAUDERDALE, FL
11/2006 – 6/2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD # 16361
FORT LAUDERDALE, FL
4/1998 – 11/2006
BARNETT INVESTMENTS, INC.
CRD # 14897
JACKSONVILLE, FL
5/1997 – 4/
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD # 7691
NEW YORK, NY
10/1995 – 3/1997
L.C. WEGARD & CO., INC.
CRD # 3722
NEW YORK, NY
10/1994 – 10/1995
If you have suffered investment losses as a result of your broker’s or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors who have been victims of securities fraud. If you have lost money as a result of securities fraud, you may be entitled to recover your investment losses. Contact our office toll free at (239) 649-0050 for a free initial consultation.