Nathan D. Bartow– Negligently Managing and Converting Customer Assets
Nathan D. Bartow Allegedly Negligently Managed and Converted Investment Assets of a Customer while Working at Fifth Third Securities, Inc.
Nathan D. Bartow allegedly negligently managed and converted the investment assets of a customer known only as HM, the dispute of which is still pending, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Jason Kane and James Booker.
Nathan D. Bartow was a financial advisor and registered rep with Fifth Third Securities, Inc from March 2013 through April 2016, working at branch offices in Barberton and Canton, Ohio, the AWC reports. Bartow is also the subject of at least six customer complaints, the AWC also notes.
The Peiffer Wolf Carr & Kane securities lawyers are currently investigating Nathan D. Bartow’s alleged conversion of customer assets.
Nathan D. Bartow Barred by FINRA after Allegedly Failing to Respond to a FINRA Investigation
On May 25, 2016, FINRA Staff sent a request to Bartow for on-the-record testimony pursuant to FINRA Rules, according to the aforementioned AWC currently under review by attorneys Jason Kane and James Booker.
Bartow acknowledges that he received FINRA’s request and would not appear for on-the record testimony at any time, and hence, violated FINRA Rules and thus has been barred by FINRA, the AWC reports.
One should also note that, according to the AWC, Nathan D. Bartow neither admitted nor denied the FINRA findings.
Securities Lawyers Investigating
The Peiffer Wolf Carr & Kane securities lawyers often represent investors who lose money as a result of alleged unauthorized transactions and are currently investigating Nathan D. Bartow’s alleged conversion of customer assets. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of Nathan D. Bartow’s alleged conversion of customer assets may contact the securities lawyers at Peiffer Wolf Carr & Kane, Jason Kane or James Booker, for a free no-obligation evaluation of their recovery options, at (585) 310-5140.