According to FINRA, Nathan D. Bartow (CRD #4805130, Canton, Ohio) submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Bartow consented to the sanction and to the entry of findings that he allegedly failed to provide FINRA with requested documents and information related to an investigation into allegations that he negligently managed and converted a customer’s investment assets.
For FINRA’s full findings, see FINRA Case #2016049765601.
According to his FINRA BrokerCheck, Bartow was registered with Fifth Third Securities, Inc. in Barberton, OH from 03/2013 – 04/2016.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For more information on the firm and it’s representation of investors, visit https://whitesecuritieslaw.com.
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Tags: Nathan Bartow barred securities industry, Nathan Bartow Fifth third securities, Nathan Bartow financial advisor, Nathan Bartow FINRA lawsuit, Nathan Bartow lawsuit, Nathan Bartow litigation Last modified: August 17, 2016