Haselkorn & Thibaut has initiated an independent investigation into investment recommendations and potential losses involving John Thomas Hardiman, a financial advisor registered with Janney Montgomery Scott LLC in Melville, NY. With a national presence and over 50 years of experience, Haselkorn & Thibaut offers a free, confidential case review for investors who may have experienced losses working with Mr. Hardiman. If you have concerns about your account, call 1-888-885-7162 today for a compassionate, no-obligation discussion about your options. No recovery, no fee.
Who is John Thomas Hardiman?
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John Thomas Hardiman (CRD #2089333) is a seasoned financial advisor and stockbroker operating in Melville, NY. He is currently affiliated with Janney Montgomery Scott LLC (395 N. Service Road, Suite 411, Melville, NY 11747), where he has held registration since August 2017. His career spans several major firms:
- Janney Montgomery Scott LLC (Melville, NY) — 2017 to present
- Merrill Lynch, Pierce, Fenner & Smith Inc. — 2007 to 2017 (Melville/NYC)
- A.G. Edwards & Sons, Inc. — 2002 to 2007 (Huntington, NY)
- UBS PaineWebber Inc. — 1999 to 2002
- Continental Broker-Dealer Corp. — 1998 to 1999
Mr. Hardiman is licensed as a General Securities Representative, registered with multiple self-regulatory organizations (SROs), and holds registrations across several states.
Current Red Flags and Open Complaints
Recent disclosures regarding John Thomas Hardiman include a significant pending customer dispute:
| Date Filed | Forum | Allegations | Claimed Damages | Status |
|---|---|---|---|---|
| August 2025 | FINRA Arbitration | Unsuitable investment recommendations; misalignment with customer’s objectives and risk tolerance | $660,000 | Pending |
- Regulatory Focus: The claim centers on unsuitable investment strategies, which may constitute a violation of both FINRA Rule 2111 (Suitability) and, for customers after 2020, SEC Regulation Best Interest (Reg BI).
Advisor Background — Prior Employment Disclosures
Hardiman’s regulatory record includes a prior employment separation in 2002, when he was permitted to resign from UBS PaineWebber Inc. after signing a spouse’s name to an options agreement. Such events are potential red flags for investors seeking ethical management of their accounts.
FINRA BrokerCheck — How to Verify Details
For the most accurate and timely account history, consult FINRA’s BrokerCheck by searching for John Thomas Hardiman or CRD #2089333. BrokerCheck reveals any customer disputes, regulatory actions, and employment separations. When reviewing an advisor’s record, pay close attention to these “Disclosure” sections:
- Customer-Initiated Disputes — lists complaints, arbitrations, and civil lawsuits filed by clients.
- Regulatory Actions — outlines investigations or sanctions imposed by FINRA, the SEC, or state authorities.
- Employment Disclosures — summarizes termination or permitted resignation events.
- Criminal Disclosures — generally rare, but crucial.
To check for the latest developments, visit BrokerCheck.
Potential Risks for Investors Working with John Thomas Hardiman
- Unsuitability Claims: The pending $660,000 arbitration alleges that account portfolios contained investments that did not fit client objectives or risk profile, which is a leading cause of avoidable investment losses.
- Compliance Record: Past employment separation for document signing irregularity at a major brokerage firm raises questions about adherence to both ethical and procedural guidelines.
- Transparency: Investors should receive clear explanations for account activity, investment selections, and any unusual transactions.
What To Do If You Lost Money with John Thomas Hardiman
If you suspect your portfolio suffered due to unsuitable investments or other advisor-related missteps, it is important to act quickly. Haselkorn & Thibaut has extensive experience recovering losses for clients of Janney Montgomery Scott and other national broker-dealers. Here’s what you should do:
- Gather account statements, emails, and any written communication regarding investment advice or transactions.
- Write down a timeline of events or changes to your portfolio that seemed suspicious or unclear.
- Contact Haselkorn & Thibaut at 1-888-885-7162 for a no-cost, no-obligation consultation; you pay nothing unless a recovery is made on your behalf.
Cases are typically handled through FINRA arbitration, which aims for a faster, more cost-effective resolution than court litigation.
Frequently Asked Questions
- What is FINRA arbitration? An alternative dispute resolution forum specifically for resolving customer-broker disputes, often faster and less expensive than traditional lawsuits.
- How do I know if my losses are due to advisor misconduct? Haselkorn & Thibaut’s experienced attorneys can review your statements and documentation to help clarify if you have a case.
- Is there a deadline to file? Yes, strict time limits may apply, so prompt action is recommended.
Haselkorn & Thibaut: Your Advocate for Investment Loss Recovery
With a 98% success rate, millions recovered, and no fee unless you win, Haselkorn & Thibaut is the trusted national law firm for investors. Our client-focused approach means you’ll know exactly where your case stands at any point. There’s no risk or upfront cost to get answers and take action.
If you invested with John Thomas Hardiman at Janney Montgomery Scott LLC in Melville, NY and have concerns or have already experienced losses, call 1-888-885-7162 now, or visit investmentfraudlawyers.com to arrange your free, private case review. Protect your financial future—take the next step today.
