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.
If you or a family member have sustained investment losses due to your stock broker or financial advisor’s recommendations, call Soreide Law Group for a free consultation on how to potentially recover those losses at 888-760-6552.
Investors potentially experienced sales practice violations by securities broker Rajesh Markan [CRD: 4553309, Dallas, Texas], and United States Securities and Exchange Commission barred him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Markan worked for Merrill Lynch from May 8, 2009, through November 4, 2022, and Hilltop Securities Inc. from October 5, […]
Investors potentially incurred losses because of securities broker Tory Duggins [CRD: 4556340, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Duggins worked for Spartan Capital Securities LLC from February 29, 2016, to January 31, 2024. See below to find out more about Duggins’s disclosures. FINRA Sanctioned Duggins […]
Financial Industry Regulatory Authority (FINRA) barred securities broker Brian James Pavelko [CRD: 6347352, Milpitas, California], according to information disclosed through BrokerCheck. Pavelko worked for SW Financial from September 20, 2018, to March 3, 2022, and NI Advisors from March 13, 2022, to December 23, 2025. Investors are encouraged to continue reading to learn more about […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com