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SEC Bars Wells Fargo Advisors Broker For Fraud

January 29, 2019 | Posted by : Guiliano Law Group | Alternative Investments, Breach of Fiduciary Duty, Direct Participation Programs, Elder Financial Abuse, Failure To Supervise, FINRA Securities Arbitration, Hedge Funds, Investment and Regulatory News, Securities Arbitration Claims, Selling Away and Outside Activities | 0 Comments

Aaron Robert Parthemer of Fort Lauderdale, Florida has been fined $160,000.00 and barred from being a broker or investment adviser or otherwise associating with any brokers or investment advisories according to an Order Making Findings and Imposing Sanctions Pursuant To Securities Exchange Act of 1934 Section 15(b), Investment Advisers Act of 1940 Section 203(f) and […]

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SEC Bars Wells Fargo Advisors Broker For Fraud

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