Securities Arbitration Lawyers BlogWellington, Florida-Based Winfield Capital Partners, LP And Its Principals Under Investigation
Silver Law Group is investigating Wellington, Florida based company Winfield Capital Partners, LP and its principals, Richard W. Hartnett and Taryn E. Hartnett.
Winfield Capital Partners and Winfield Capital GP
Winfield Capital Partners is an investment fund managed by Winfield Capital GP LLC. Winfield Capital Partners began soliciting investors in or around 2016 after it filed a Form D with the Securities and Exchange Commission (SEC). According to Winfield Capital Partners’ filed Form D, the fund sought to raise approximately $55 million in investor funds.
Winfield Capital Partners is allegedly a domestic long/short absolute return fund with an objective to produce positive, absolute risk-adjusted returns in all market conditions. According to the fund’s website, it seeks to invest in fast-growing, large capitalization, domestic companies with active exchange-traded equity options.
Winfield Principals Richard Hartnett and Taryn Hartnett
Richard Hartnett and Taryn Hartnett are executive officers of Winfield Capital Partners. According to Winfield Capital Partners’ website, Richard Hartnett is founder of the investment fund. He also is the general partner of Winfield Capital GP LLC, Winfield Capital Partners’ investment manager. According to Winfield Capital Partners’ website, all investment decisions are made by the investment manager.
Richard Hartnett was a FINRA-registered broker for approximately 43 years. According to his FINRA BrokerCheck report, he was employed by various brokerage firms. He was last employed by Morgan Stanley at its West Palm Beach, Florida branch. He left Morgan Stanley in April 2016, according to this FINRA BrokerCheck report.
Richard Hartnett had 8 FINRA arbitration complaints filed against him, including one that was filed after he left Morgan Stanley. All of the FINRA arbitration complaints either settled or an award was given. A large majority of the complaints allege unauthorized trading and excessive trading (churning).
Taryn Hartnett was also a FINRA-registered broker. According to her FINRA BrokerCheck report, she was employed by Morgan Stanley or an affiliated Morgan Stanley entity from 2008 to 2009 at their Columbia, South Carolina branches.
Both Taryn and Richard Hartnett are no longer registered with FINRA.
Winfield Capital Partners’ and Winfield Capital GP’s operations are run out of Richard Hartnett’s home in Wellington, Florida.
Contact Our Firm if You’ve Invested with Winfield Capital GP in the Winfield Capital Partners Fund
If you have lost money investing with Richard Hartnett and/or Taryn Hartnett in the Winfield Capital Partners fund, you may have a claim to recover some or all of your investment. Contact our firm today to see how we can try to recover your losses. If we don’t recover money for you, you owe us nothing.
Silver Law Group represents the interests of investors who have been the victims of investment fraud. Scott Silver is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities investment fraud cases. Please contact Scott Silver of the Silver Law Group for a free consultation at ssilver@silverlaw.com or toll free at (800) 975-4345.