Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Hartvigson (Hartvigson), previously associated with Independent Financial Group, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Hartvigson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $499,000.00 on March 13, 2025.
Alleges investments were not suitable