Brett Arthur Hartvigson

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/05/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078455601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Brett Arthur Hartvigson (Respondent) Former General Securities Representative CRD No. 2263087 Pursuant to FINRA Rule 9216, Respondent Brett Arthur Hartvigson submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2023078455601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2263087

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