Michael Miles Hartlett – Financial Advisor/Broker Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Michael Miles Hartlett is a licensed financial advisor with International Assets Advisory. Michael Miles Hartlett was previously licensed with Invest Financial Corporation.
According to FINRA, Michael Miles Hartlett was fined $5,000 and suspended from the securities industry for 10 days in November 2021.
According to FINRA Allegations:
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. The findings stated that Hartlett was orally granted discretionary trading authority from the customer, however he did not disclose this grant of authority to his member firm. In addition, Hartlett falsely stated in annual compliance questionnaires that he had not exercised discretionary trading authority in any customers’ brokerage accounts.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Michael Miles Hartlett 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 Michael Miles Hartlett’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 Michael Miles Hartlett 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.