Tag Archives: Michael Miles Hartlett

LPL Financial Stockbroker Sanctioned For Unauthorized Trading

November 08, 2021  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   Comments Off on LPL Financial Stockbroker Sanctioned For Unauthorized Trading

Michael Miles Hartlett (also known as Mike Hartlett) of East Petersburg Pennsylvania a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he engaged in unauthorized trading of a customer’s account when he was […]

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