FINRA sanctioned securities broker Brett Arthur Hartvigson [CRD: 2263087, San Diego, California], and investors might have sustained losses because of him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hartvigson worked for Independent Financial Group LLC from April 6, 2009, to October 27, 2023. Here’s more about Hartvigson’s disclosures.
Particularly, on February 5, 2024, FINRA issued Case: 2023078455601 sanctioning Brett Hartvigson for infractions. Specifically, Hartvigson was barred from associating with any FINRA member in all capacities. Evidently, FINRA alleged that Hartvigson declined to furnish documents and information FINRA requested pursuant to Rule 8210.
This matter began with a complaint made to FINRA. On August 18, 2023, in connection with its investigation, FINRA requested documents from Hartvigson. During a phone call on January 3, 2023, Hartvigson, through his lawyer, acknowledged receipt of the request but confirmed he would not cooperate. By refusing to comply, Hartvigson violated FINRA Rules 8210 and 2010.
Also, an Independent Financial Group LLC client filed FINRA Arbitration No. 20-03209 about Brett Hartvigson. Supposedly, Hartvigson overconcentrated accounts in alternative investments. Because of this, the client allegedly sustained damages on business development companies and real estate investment trusts. As a result, on December 3, 2021, Independent Financial Group LLC settled this matter by paying the client $350,000 in damages.
Additionally, a client of Thrivent Investment Management Inc contested Brett Hartvigson’s sales practices, according to a complaint. Allegedly, Hartvigson caused the loss of liquidity when assets in the customer’s account were moved to buy life insurance products and fixed annuities. It appears that Hartvigson caused the client to sustain damages. Therefore, Thrivent Investment Management Inc opted to settle the matter on September 4, 2007, by compensating the client in the amount of $11,182.57.
Also, a client of Thrivent Investment Management contested Brett Hartvigson’s sales practices, according to a complaint. Allegedly, Hartvigson was negligent, causing the client to sustain damages on variable universal life products. As a result, Thrivent Investment Management opted to settle the matter on October 29, 2002, by compensating the client in the amount of $65,054.51.
Have you experienced losses because of any sales practice violation by financial advisor / securities broker Brett Hartvigson? If you have, get in touch with Soreide Law Group online or at (888) 760-6552 so you can talk to a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, represents investors through contingency fees, and advances all costs. Hartvigson and brokerage firms he worked for deny any allegations of sales practice violations. Contact us online.
Moors & Cabot, Inc. (CRD 594) is a brokerage firm based in Boston, Massachusetts. FINRA censured and fined the firm $125,000 after finding it failed to develop and implement an anti-money laundering compliance program reasonably expected to detect and report suspicious transactions, according to an AWC issued August 24, 2026.
Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
Webull Financial LLC (CRD 289063) is a brokerage firm based in New York, New York. FINRA censured and fined the firm $115,000 after finding it maintained inaccurate books and records of options order origin codes, according to an AWC issued August 17, 2026.
Phone:
Fax: 1-954-760-6553
Email: [email protected]