FINRA Bars Broker Brett Hartvigson after Allegations of Overconcentration
Hartvigson reportedly agreed to the sanctions after he refused to produce information and documents requested by FINRA in connection with its investigation of the allegations made to it in a complaint.
According to his broker profile, a customer filed a complaint against Hartvigson and his member firm, Independent Financial Group in 2020 alleging “overconcentration in alternative investments.” The complaint reportedly settled for $350,000.
Brett Hartvigson – FINRA BrokerCheck Profile
The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA.
BrokerCheck provides investors with detailed information about the professional history, qualifications, and regulatory actions of brokers and brokerage firms. You can use the tool to verify whether a broker or brokerage firm is registered with FINRA. You can also review their employment history, licensing status, and any regulatory actions or complaints filed against them.
Broker Brett Hartvigson was reportedly affiliated with the following firms during his career, among others:
04/06/2009 – 10/27/2023, INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717), SAN DIEGO, CA,
B, 02/24/2006 – 05/29/2009, LPL FINANCIAL CORPORATION (CRD#:6413), SAN DIEGO, CA
B, 07/01/2002 – 02/27/2006, THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387), MINNEAPOLIS, MN
According to his BrokerCheck profile, Hartvigson has four customer complaints, 2 financial disclosures and 1 employment separation as well as the regulatory disclosure.
FINRA Attorneys to Recover Investment Losses
When brokers violate securities laws, such as making unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. FINRA arbitration is a faster and less expensive alternative to traditional litigation.
FINRA arbitration can be a complex and technical process, and having an experienced attorney who is knowledgeable about securities law can increase your chances of success.
The FINRA attorneys at the White Law Group can help you with many aspects of the arbitration process including evaluating the merits of your claim and determining whether you have a compelling case for arbitration.
The White Law Group can assist you in drafting a statement of claim that accurately reflects the allegations of fraud and the damages you are seeking. They will also represent you at the arbitration hearing, present evidence and make arguments on your behalf. They may be able to negotiate a settlement for you before going to arbitration.
Free Consultation with Securities Attorneys
If you have suffered losses investing with Brett Hartvigson, the securities attorneys at the White Law Group may be able to help you. For a free consultation with a securities attorney, please call (888) 637-5510.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases.
Our firm represents investors in all types of securities related claims, including claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, selling away, and unauthorized trading, among many others.
With over 30 years of securities law experience, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions attempt to recover their investment losses. For more information, please visit our website, www.whitesecuritieslaw.com.
