According to FINRA, Brett Arthur Hartvigson was barred from association with any FINRA member in all capacities for refusing to cooperate with a regulatory investigation.

Hartvigson refused to produce information and documents requested by FINRA in connection with its investigation of allegations made in a customer complaint. When registered representatives refuse to cooperate with FINRA investigations, they obstruct the regulator's ability to protect investors and maintain market integrity.

FINRA rules require all associated persons to cooperate fully with investigations and provide requested information and documents. This requirement is fundamental to FINRA's regulatory mission, as the organization relies on information from registered representatives to investigate potential misconduct and determine whether violations occurred. Hartvigson's refusal to cooperate left FINRA unable to complete its investigation into the customer complaint.

The permanent bar prevents Hartvigson from working in any capacity at any FINRA member firm. This case demonstrates FINRA's zero-tolerance approach to non-cooperation with investigations. For investors, the willingness of financial professionals to cooperate with regulatory inquiries is essential to ensuring accountability and protecting customers. When a registered representative refuses to provide information about allegations of misconduct, it raises serious questions about what they may be trying to hide and justifies the most severe sanction available.