PAUL S HARTWELL

PAUL S HARTWELL is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 21 COLLEGE ROAD, MANCHESTER, NH, 03102-1401.

PAUL S HARTWELL has worked at LPL FINANCIAL LLC since August 31, 2016

Disclosure History

PAUL S HARTWELL has 2 Disclosure Event(s).

Date: August 20, 1998
Category: Customer Dispute
Allegations: THROUGH HIS ATTORNEY, THE CUSTOMER HAS CLAIMED UNSUITABLE AND UNAUTHORIZED TRANSACTIONS OCCURRED IN 1996. SEEKING COMPENSATORY DAMAGES IN THE AMOUNT OF $135,000., INTEREST AND PUNITIVE DAMAGES.
Damage Amount Requested: $135,000.00
Settlement Amount: $57,000.00
Broker Comment: NOT PROVIDEDNOT PROVIDED

Date: February 23, 1998
Category: Customer Dispute
Allegations: CUSTOMERS HAVE ALLEGED AN UNAUTHORIZED PURCHASE OF AN OVER THE COUNTER SECURITY IN 1995. NO SPECIFIC DAMAGES HAVE BEEN CLAIMED. MR. HARTWELL WASEMPLOYED AT DONALDSON, LUFKIN & JENRETTE SECURITIES AT THE TIME OF THE ALLEGED UNAUTHORIZED TRADE.
Broker Comment: NOT PROVIDED. ON 8/1995 I PURCHASED FOR THE CLIENT ACCOUNT 550SHARES OF COMMON STOCK OF COMPUTRON AT $17.50 PER SHARE. THESHARES WERE BOUGHT AS THE RESULT OF AN INITIAL PUBLIC OFFERINGUNDERWRITTEN BY DLJ. THE CURRENT PRICE PER SHARE IS 7/8. THECLIENT'S OBJECTIVE WAS GROWTH. THE INVESTMENT WAS CONSISTENTWITH THE CLIENT'S OBJECTIVE. I HAVE BEEN A REGISTEREDREPRESENTATIVE FOR TWENTY YEARS. I HAVE NEVER HAD A CUSTOMERCOMPLAINT BEFORE THIS.

More Information

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