Nathan D. Bartow– Negligently Managing and Converting Customer Assets

Cleveland stockbroker fraud lawyerNathan 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 Alan Rosca 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 Rosca Wolf 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 Alan Rosca 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 Rosca Wolf 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 Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1163 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.