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Allen Bahe Resigns from Bahe Farnsley

Allen Bahe (CRD #: 5724183), a broker formerly registered with Southeast Investments, was permitted to resign, according to his BrokerCheck record, accessed on October 29, 2022. Read on if you have questions about Allen Bahe’s conduct as a broker.

Resignation from Bahe Farnsley

On August 25, 2022, Allen Bahe was permitted to resign from investment adviser Bahe Farnsley after allegedly knowingly providing incorrect information to a former client and engaging in unauthorized activities at another, unnamed investment adviser firm.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Pending Investor Dispute

On August 24, 2022, an investor alleged that the amount of funds Allen Bahe claimed was in his investment accounts did not match the actual amount. This dispute is pending.

Background Information

Allen Bahe has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 65 – Uniform Investment Adviser Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

He previously worked for Southeast Investments (CRD#:43035) and L.M. Kohn & Company (CRD#:27913).

Kurta Law Can Help

If you worked with Allen Bahe and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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