{"id":2944,"date":"2015-09-03T00:00:00","date_gmt":"2015-09-03T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/two-south-florida-brokers-in-the-finra-spotlight-for-making-inappropriate-loans\/"},"modified":"2018-10-08T12:41:30","modified_gmt":"2018-10-08T16:41:30","slug":"two-south-florida-brokers-in-the-finra-spotlight-for-making-inappropriate-loans","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/two-south-florida-brokers-in-the-finra-spotlight-for-making-inappropriate-loans\/","title":{"rendered":"Two South Florida Brokers in the FINRA Spotlight for Making Inappropriate Loans"},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Two-South-Florida-Brokers-in-the-FINRA-Spotlight-for-Making-Inappropriate-Loans.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter size-large wp-image-1846\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Two-South-Florida-Brokers-in-the-FINRA-Spotlight-for-Making-Inappropriate-Loans-1024x678.jpg\" alt=\"Two South Florida Brokers in the FINRA Spotlight for Making Inappropriate Loans on silverlaw.com\" width=\"1024\" height=\"678\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Two-South-Florida-Brokers-in-the-FINRA-Spotlight-for-Making-Inappropriate-Loans-1024x678.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Two-South-Florida-Brokers-in-the-FINRA-Spotlight-for-Making-Inappropriate-Loans-300x199.jpg 300w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/a><\/h2>\n<h2>Patrick McGrath and Aaron Parthemer: Separate FINRA complaints for similar violations<\/h2>\n<\/p>\n<p>In <a href=\"https:\/\/www.finra.org\/sites\/default\/files\/Disciplinary_Actions_June_2015.pdf\"  target=\"_blank\">two separate FINRA disciplinary actions<\/a>, two South Florida investment brokers were found to have made loans to, or borrowed funds from, their firm\u2019s customers without permission. Generally, brokerage firms prohibit stockbrokers from asking clients for personal loans or otherwise soliciting direct investments from a client.<\/p>\n<p>In the case of Fort Lauderdale, Florida-based Aaron Parthemer, his actions have resulted in his being permanently barred by FINRA from the securities industry in any capacity. While Parthemer did not admit to or deny the findings, he consented to the sanction and entry of the findings on several counts. Parthemer was registered with Wells Fargo Advisors, LLC in Fort Lauderdale, Florida.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/two-south-florida-brokers-in-the-finra-spotlight-for-making-inappropriate-loans\/\"  title=\"Continue Reading Two South Florida Brokers in the FINRA Spotlight for Making Inappropriate Loans\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Patrick McGrath and Aaron Parthemer: Separate FINRA complaints for similar violations In two separate FINRA disciplinary actions, two South Florida investment brokers were found to have made loans to, or borrowed funds from, their firm\u2019s customers without permission. Generally, brokerage firms prohibit stockbrokers from asking clients for personal loans or otherwise soliciting direct investments from [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578,602],"tags":[485],"class_list":["post-2944","post","type-post","status-publish","format-standard","hentry","category-all-releases","category-class-action","tag-finra-disciplinary-actions"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Two South Florida Brokers in the FINRA Spotlight for Making Inappropriate Loans &#8212; Securities Arbitration Lawyers Blog &#8212; September 3, 2015<\/title>\n<meta name=\"description\" content=\"Check out this article on Two South Florida Brokers in the FINRA Spotlight for Making Inappropriate Loans on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/two-south-florida-brokers-in-the-finra-spotlight-for-making-inappropriate-loans\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Two South Florida Brokers in the FINRA Spotlight for Making Inappropriate Loans &#8212; 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