Last Updated: April 2024 (Washington, D.C. )
Charles Hartley Investigation Summary
Here’s what you need to know about Washington, DC, stockbroker Charles Hartley:
- Name: Mr. Charles Douglas Hartley
- Current Employer: AGP/ Alliance Global Partners
- DBA:
- Previous Firms: B. Riley Wealth Management, Wells Fargo Advisors Financial Network
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Charlie Hartley
- Primary Location: Washington, D.C.
- CRD 2658276
- Can Charlie Hartley be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $2.6 Million
- Discharged by Prior Employer: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Charles Hartley As Your Stockbroker?
In 12/2023 a customer of B. Riley Wealth Management filed a FINRA arbitration alleging that Charlie Hartley took inappropriate risks purchasing unsuitable investments, overtrading options, and deviating from the investment plan. Damages of $2,600,000 are sought in this currently pending matter.
- Riley Wealth Management discharged Hartley in 2/2024 and makes the following allegation on his FINRA record: “Failure to communicate with clients in a firm-approved manner, failed to maintain books and records for a period of time, failure to report a customer complaint, submitted incorrect information in compliance questionnaires.”
[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
[LEARN MORE]: FINRA Rule 2111- suitability
Allegations of Broker Misconduct Against Charles Hartley
Customers of Charlie Hartley have alleged the following wrongdoing in connection with the handling of customer accounts:
- Inappropriate Risks
- Over traded options
- Deviated from investment plan
[LEARN MORE]:
What is Excessive Trading (Churning)?
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
[LEARN MORE]: Investigations of other B. Riley Securities brokers
If you have suffered investment losses in an account handled by Charlie Hartley, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
