Barry John Hartwyk (Barry Hartwyk) – Broker Barry Hartwyk Suspended from Securities Industry | Recover Investment Losses

Barry John Hartwyk (Barry Hartwyk) – Broker Barry Hartwyk Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses

Barry John Hartwyk (Barry Hartwyk) CRD #1527583

Barry Hartwyk was a previously licensed financial advisor with RBC Capital Markets, LLC. According to FINRA, Barry Hartwyk was suspended from the securities industry for 15 days and fined $5,000 in July 2020.

According to FINRA Allegations:

Hartwyk consented to the sanctions and to the entry of findings that he exercised discretion without written authorization or obtaining his member firm’s approval for trades in customer accounts. The findings stated that FINRA began its investigation after receiving the Form U5 filed by Hartwyk’s firm.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with Barry Hartwyk and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Barry Hartwyk’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Barry Hartwyk and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

Some of the information in this blog post was obtained on 12/18/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

Contact Us Today!

[]
1 Step 1
keyboard_arrow_leftPrevious
Nextkeyboard_arrow_right
FormCraft - WordPress form builder

Leave a Reply

Your email address will not be published. Required fields are marked *