Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 16, 2018 indicate that former California-based RBC Capital Markets broker/adviser Barry Hartwyk, who has been involved in several customer disputes, was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hartwyk (CRD# 1527583).
Barry Hartwyk has spent 32 years in the securities industry and was most recently registered with RBC Capital Markets in Long Beach, California (2003-2018). Previous registrations include Credit Suisse First Boston in New York, New York (2003); Donaldson Lufkin & Jenrette Securities Corporation in Jersey City, New Jersey (1992-2003); Merrill Lynch in New York, New York (1986-1992); and Lehman Brothers in New York, New York (1989-1990). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 6, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 19, 1986; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received three customer complaints and was recently discharged from his former employer.
In October 2018 he was terminated from his position at RBC Capital Markets in connection to allegations he violated firm rules regarding time and price discretion, front-running, and the execution of orders.
In 2004 a customer alleged Barry Hartwyk, while employed at Credit Suisse First Boston, misrepresented and omitted material facts, recommended unsuitable investments, churned the account, over-concentrated investments in the account, breached his fiduciary duty, breached contract, and acted negligently. The complaint settled for $49,000.
In 2004 a customer alleged Barry Hartwyk, while employed at Donaldson Lufkin & Jenrette, misrepresented material facts, over-concentrated investments in the account, made unsuitable investment recommendations, churned the account, breached his fiduciary duty, acted negligently, and breached contract. The complaint settled for $315,000.
In 1998 a customer alleged Barry Hartwyk concentrated shares in a certain security, resulting in poor performance in the account. The complaint settled for $53,000.
If you or someone you know has lost money investing with Barry Hartwyk, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.