Scott Anthony Harwell (CRD # 2126913, Registered Supervisor, Mobile, Alabama) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Harwell consented to the described sanction and to the entry of findings that he engaged in private securities transactions without prior written notice to, or prior written approval from, his member firm. The findings stated that Harwell offered for sale and sold unregistered shares of stock to individuals for which he collected funds totaling approximately $130,950. The findings also stated that Harwell failed to respond to FINRA requests for information.

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature.  Please contact us for a free evaluation.