Barred: Ronald Walter Hannes Barred by FINRA

Barred

Ronald Walter Hannes Barred by FINRA

An AWC was issued in which Hannes was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Hannes consented to the sanction and to the entry of findings that he refused to produce documents and information requested by FINRA during its investigation into allegations that he converted customer funds.

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