Laurie Ingwersen: Ex-Harvest Group Advisor Faced $556K Complaint

Waltham, Massachusetts financial advisor Laurie Ingerwsen (CRD# 4066323) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with AW Securities and an investment advisor with Allworth Financial.

Ms. Ingwersen’s BrokerCheck report discloses one investor complaint. Filed in May 2026, it alleges that as a representative of The Harvest Group Wealth Management, she participated in unsuitable investment practices, misrepresented material facts, and failed to follow client instructions in connection with an investment in a leveraged exchange-traded fund. The complaint reached a settlement of $556,000.

Investors should be aware that FINRA rules forbid brokers from making misrepresentations of material information relating to the investments and strategies they recommend to their clients. FINRA Rule 2020 states specifically that no broker shall “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” Brokers who misrepresent investments may be held liable in the event of losses.

FINRA Rule 2010 requires FINRA-associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Many types of unethical conduct, including the failure to follow a customer’s instructions, may be found to constitute violations of FINRA Rule 2010, provided the alleged activities occur “in the conduct of [the member’s] business.” Brokers who fail to uphold FINRA Rule 2010 may be held liable in the event of losses.

According to the Financial Industry Regulatory Authority, Laurie Ingerwsen holds 26 years of securities industry experience. Based in Waltham, Massachusetts, she has been registered as a broker with AW Securities and an investment advisor with Allworth Financial since 2023. Her past registrations include The Harvest Group, Purshe Kaplan Sterling Investments, UBS Financial Services, Wachovia Securities, and Prudential Securities. Her credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; and the General Securities Representative Examination, or Series 7. She is licensed in Arizona, California, Florida, Maine, Massachusetts, New Hampshire, New York, Ohio, and Tennessee. (Information current as of June 28, 2026.)

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