Erez Law is currently investigating former Independent Financial Group, LLC broker Brett Hartvigson (CRD# 2263087) regarding alternative investment losses. He was registered with Independent Financial Group, LLC in San Diego, California, from 2009 to 2023.
In February 2024, FINRA barred him after he consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation of the allegations made to it in a complaint.
Brett Hartvigson Customer Complaints
He has been the subject of four customer complaints between 2002 and 2020, according to his CRD report. The most recent complaint was regarding:
September 2020. “Alleges overconcentration in alternative investments.” The customer sought $580,000 in damages, and the case was settled for $350,000. The complaint was regarding business development companies (BDCs) and real estate investment trusts (REITs).
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Independent Financial Group, LLC may be liable for investment or other losses suffered by Scott Hartvigson’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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