Erez Law is currently investigating The Harvest Group broker Laurie Ingwersen (CRD# 4066323) regarding exchange-traded funds (ETFs). She has been registered with AW Securities in Waltham, Massachusetts, since 2023, and Allworth Financial, L.P. in Waltham, Massachusetts, since 2023. He was registered with The Harvest Group in Waltham, Massachusetts, from 2016 to 2023, Purshe Kaplan Sterling Investments in Waltham, Massachusetts, from 2016 to 2023, and UBS Financial Services Inc. in Wellesley, Massachusetts, from 2008 to 2016.
Laurie Ingwersen Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
May 2026. “The customer alleges that respondents The Harvest Group Wealth Management, LLC, Roger H. Ingwersen, Laurie Ingwersen and Todd Ingwersen collectively engaged in unsuitable investment practices, misrepresentations, and failed to act on client instructions, resulting in avoidable losses. The respondents each deny all wrongdoing, and maintain that all actions were consistent with the client instructions and risk profiles, and attributes losses to market conditions rather than mismanagement. Customer dispute was resolved on May 7, 2026 via settlement. Respondents deny all allegations and did not admit liability. No findings were made by any regulatory body or arbitration panel.” The customer sought $334,936 in damages, and the case was settled for $565,000. The complaint was regarding leveraged ETFs, and it took place while he was registered with The Harvest Group.
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, The Harvest Group may be liable for investment or other losses suffered by Laurie Ingwersen’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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