The following information was listed on FINRA's website under “Disciplinary and Other FINRA Actions, May, 2014.”
William Robert Hartnett (CRD #3159092, Weymouth, Massachusetts)
was barred by FINRA.
According to the FINRA report, Hartnett was appointed sole guardian of minor children and the trustee of their savings accounts. Harnett also controlled their checking accounts. According to FINRA's findings, these accounts were funded from the insurance and other funds from the children’s deceased parents. These accounts were established for the children’s benefit.
According to FINRA's report, allegedly William R. Hartnett withdrew more than $267,000 from the minor children’s accounts, of which he was sole guardian of, and converted these funds to his own personal use.
It was William R. Hartnett's duty to preserve and use the funds for the children’s benefit only.
(FINRA Case #2014040319801)
William Robert Hartnett was previously registered with the following FINRA firm(s):
INFINEX INVESTMENTS, INC. (CRD# 35371) - WEYMOUTH, MA
05/2003 - 02/2014
MORGAN STANLEY DW INC. (CRD# 7556) - PURCHASE, NY
05/2002 - 04/2003
FIRST UNION SECURITIES, INC. (CRD# 19616) - ST. LOUIS, MO
06/2000 - 04/2002
This ends the summation of information from FINRA.
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