Scott William Hartman of Dallas Texas a stockbroker formerly employed by Morgan Stanley has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he neglected to furnish information to FINRA personnel inquiring into his activities. Case No. 2016049225001 (May 31, 2017).

FINRA Public Disclosure reveals that FINRA first suspended Hartman in all capacities on March 24, 2017. By this time, Hartman was warned that his failure to provide FINRA the requested information would eventually lead to his bar from the securities industry unless Hartman was able to convince FINRA to terminate his suspension on other grounds. Hartman reportedly failed to communicate with the regulator by May 30, 2017. Consequently, FINRA automatically barred him on May 31, 2017.

FINRA Public Disclosure further confirms that on January 29, 2016, the State of Oklahoma, on behalf of Insurance Commissioner, John Doak, filed an investment related civil action involving Hartman’s conduct in which the State of Oklahoma sought restitution and monetary penalties to be assed against Hartman supported by accusations of unjust enrichment, negligence, and breach of fiduciary duty in regard to Hartman’s outside business activities while employed with Sanford C. Bernstein & Co., LLC. Case No. CJ 2016-513 (Jan. 31, 2016).

Hartman’s registration with Sanford C. Bernstein & Co., LLC was terminated on September 19, 2014, and his registration with Morgan Stanley was terminated on January 17, 2017.

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