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FINRA Awards for Robert L. Hartley

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0102808/21/2018Claimant(s): Tyler Smith
Claimant Lawyers(s): Robert L. Hartley
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
17-0176708/10/2018Claimant(s): Denise Fry, Donna Sullivan, Denise M. Fry Living Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Tamara Steele
Respondent Lawyers(s): Robert L. Hartley
Arbitrator(s): Lynn Hirschfeld Brahin, Julia Church Kozicki, Jill Elise Vestal
Hearing Site: Indianapolis, IN
Checkmark Icon$226,908

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