FINRA has suspended former LPL Financial LLC broker Michael Miles Hartlett from the securities industry for ten business days. Hartlett consented to the sanctions and to the entry of findings that he exercised discretionary trading authority in a customer’s accounts without having obtained prior written authorization of the customer.
Hartlett’s suspension is scheduled to begin on November 15, 2021, and end on November 29, 2021. He was also fined $5,000.
If you have lost money with Michael Miles Hartlett, or LPL Financial LLC, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.