Erez Law is currently investigating Independent Financial Group, LLC broker Brett Hartvigson (CRD# 2263087) regarding alternative investment losses. Hartvigson has been registered with Independent Financial Group, LLC in San Diego, California since 2009.
Hartvigson has been the subject of four customer complaints between 2002 and 2020, according to his CRD report. The most recent complaint is regarding:
September 2020. “Alleges overconcentration in alternative investments.” The customer is seeking $580,000 in damages and the case is currently pending. 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 Hartvigson’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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.