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
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.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for PAUL S HARTWELL, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More