Aaron Parthemer of Fort Lauderdale, Florida submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Department of Enforcement of the Financial Industry Regulatory Agency (FINRA) for the purpose of settlement for allegedly engaging in several outside business activities without his firm’s prior written knowledge.
Parthemer first became registered with FINRA as a General Securities Representative (GSR) in October 1994. From June 2009 through October 2011, Parthemer was registered with Morgan Stanley Smith Barney LLC (Morgan Stanley) as a GSR. On November 4, 2011 Morgan Stanley filed a Uniform Termination Notice for Securities Industry Registration (Form U5) under Parthemer’s request. From October 21, 2011 to present, Parthemer has been registered through Wells Fargo Advisors, LLC (Wells Fargo) as a GSR. Continue reading →