Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Hartwig (Hartwig), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Hartwig recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $33,960.00 on September 15, 2022.
Client alleges that the advisor did not make her aware that trades placed to replenish her spending fund were made from her Traditional IRA account, resulting in IRS tax liabilities of $33,960.00. The activity dates leading to the allegations were September 25, 2020, and November 13, 2020.